Ofc. of Labor-Management Standards, Labor Pt. 452 · 452.9 Prohibition against certain persons ... national, or intermediate body office. ... Swift & Co., 323 U.S. 134 at 138

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15 [Reserved] 16 See § 452.13 of this chapter. 17 See title III of the Act.

or subordinate bodies directly affili-ated with the federation in such terri-tory; and

(3) Exists primarily to carry on edu-cational, legislative and coordinating activities.

(b) The term does not include organi-zations of local unions or subordinate bodies (1) of a single national or inter-national union; or (2) of a particular department of a federation or similar association of national or international unions.

[29 FR 8060, June 25, 1964]

§ 451.6 Extraterritorial application. (a) It is not the purpose of the Act to

impose on foreign labor organizations any regulation of the activities they carry on under the laws of the coun-tries in which they are domiciled or have their principal place of business. The applicability of the Act is limited to the activities of persons or organiza-tions within the territorial jurisdiction of the United States. The foregoing would be applicable, for example, to Canadian locals affiliated with inter-national labor organizations organized within the United States.

(b) On the other hand, labor organiza-tions otherwise subject to the Act are not relieved of the requirements im-posed upon them with respect to ac-tions taken by them in the United States or which will have effect in the United States, by virtue of the fact that they have foreign members or af-filiates that participate in these ac-tions. For example, a national or inter-national labor organization which con-ducts its required election of officers by referendum or at a convention of delegates must comply with the elec-tion provisions of the Act, 16 even though members of foreign locals par-ticipate in the balloting, or delegates of foreign locals participate in the elec-tion at the convention.

(c) Similarly, the provisions of the Act with respect to imposition of trust-eeships 17 are applicable to United States national or international labor organizations subject to this Act even though the action of the United States

organization is taken with respect to a foreign local.

PART 452—GENERAL STATEMENT CONCERNING THE ELECTION PROVISIONS OF THE LABOR- MANAGEMENT REPORTING AND DISCLOSURE ACT OF 1959

Subpart A—General Considerations

Sec. 452.1 Introductory statement. 452.2 Application of union constitution and

bylaws. 452.3 Interpretations of constitution and by-

laws. 452.4 Investigatory provision—application. 452.5 Effect of violation on outcome. 452.6 Delegation of enforcement authority.

Subpart B—Other Provisions of the Act Affecting Title IV

452.7 Bill of Rights, title I. 452.8 Trusteeship provisions, title III. 452.9 Prohibition against certain persons

holding office; section 504. 452.10 Retaliation for exercising rights.

Subpart C—Coverage of Election Provisions

452.11 Organizations to which election pro-visions apply.

452.12 Organizations comprised of govern-ment employees.

452.13 Extraterritorial application. 452.14 Newly formed or merged labor organi-

zations. 452.15 Effect of trusteeship. 452.16 Offices which must be filled by elec-

tion. 452.17 Officer. 452.18 Constitutional officers. 452.19 Executive functions. 452.20 Nature of executive functions. 452.21 Members of executive board. 452.22 Delegates to a convention.

Subpart D—Frequency and Kinds of Elections

452.23 Frequency of elections. 452.24 Terms of office. 452.25 Vacancies in office. 452.26 Elections in local labor organiza-

tions. 452.27 National, international organiza-

tions, and intermediate bodies. 452.28 Unopposed candidates. 452.29 Primary elections. 452.30 Run-off elections. 452.31 One candidate for several offices.

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Subpart E—Candidacy for Office; Reasonable Qualifications

452.32 Persons who may be candidates and hold office; secret ballot elections.

452.33 Persons who may be candidates and hold office; elections at conventions.

452.34 Application of section 504, LMRDA. 452.35 Qualifications for candidacy. 452.36 Reasonableness of qualifications. 452.37 Types of qualifications. 452.38 Meeting attendance requirements. 452.39 Participation in insurance plan. 452.40 Prior office holding. 452.41 Working at the trade. 452.42 Membership in particular branch or

segment of the union. 452.43 Representative categories. 452.44 Dual unionism. 452.45 Multiple office holding. 452.46 Characteristics of candidate. 452.47 Employer or supervisor members. 452.48 Employees of union. 452.49 Other union rules. 452.50 Disqualification as a result of dis-

ciplinary action. 452.51 Declaration of candidacy. 452.52 Filing fee. 452.53 Application of qualifications for of-

fice. 452.54 Retroactive rules.

Subpart F—Nominations for Office

452.55 Statutory provisions concerning nomination.

452.56 Notice. 452.57 Procedures for nomination. 452.58 Self-nomination. 452.59 Presence of nominee. 452.60 Nominations for national, inter-

national, or intermediate body office. 452.61 Elimination contests—local unions. 452.62 Disqualification of candidates; proce-

dural reasons. 452.63 Nominations at conventions. 452.64 Write-in votes. 452.65 Interval between nominations and

election.

Subpart G—Campaign Safeguards

452.66 Statutory provisions. 452.67 Distribution of campaign literature. 452.68 Distribution to less than full mem-

bership. 452.69 Expenses of campaign literature. 452.70 Contents of literature. 452.71 Inspection of membership lists. 452.72 Period of inspection. 452.73 Use of union funds. 452.74 Expenditures permitted. 452.75 Union newspapers. 452.76 Campaigning by union officers. 452.77 Permissive use of union funds. 452.78 Expenditures by employers. 452.79 Opportunity to campaign.

452.80 Bona fide candidates. 452.81 Rights in intermediate body elec-

tions. 452.82 Reprisal for exercising rights. 452.83 Enforcement of campaign safeguards.

Subpart H—Right To Vote

452.84 General. 452.85 Reasonable qualifications on right to

vote. 452.86 Vote conditioned on payment of dues. 452.87 Dues paid by checkoff. 452.88 Resumption of good standing. 452.89 Apprentices. 452.90 Visiting members. 452.91 Voting by employers, supervisors. 452.92 Unemployed members. 452.93 Retired members. 452.94 Reasonable opportunity to vote. 452.95 Absentee ballots.

Subpart I—Election Procedures; Rights of Members

452.96 General. 452.97 Secret ballot. 452.98 Outside agencies. 452.99 Notice of election. 452.100 Use of union newspaper as notice. 452.101 Sample ballots as notice. 452.102 Notice in mail ballot election. 452.103 Primary elections. 452.104 Proximity of notice to election. 452.105 Interference or reprisal. 452.106 Preservation of records. 452.107 Observers. 452.108 Publication of results. 452.109 Constitution of labor organization. 452.110 Adequate safeguards. 452.111 Campaigning in polling places. 452.112 Form of ballot; slate voting. 452.113 Sectional balloting. 452.114 Write-in votes. 452.115 Distribution of ballots. 452.116 Determining validity of ballots. 452.117 Majority of votes not required for

election. 452.118 Local union agents in international

elections. 452.119 Indirect elections. 452.120 Officers as delegates. 452.121 Limitations on national or inter-

national officers serving as delegates. 452.122 Delegates from intermediate bodies;

method of election. 452.123 Elections of intermediate body offi-

cers. 452.124 Delegates from units which are not

labor organizations. 452.125 Delegates from labor organizations

under trusteeship. 452.126 Delegates to conventions which do

not elect officers. 452.127 Proportionate representation. 452.128 Under-strength representation. 452.129 Non-discrimination.


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1 73 Stat. 532–535, 29 U.S.C. 481–483. 2 Skidmore v. Swift & Co., 323 U.S. 134 at 138

(1944).

452.130 Expenses of delegates. 452.131 Casting of ballots; delegate elec-

tions. 452.132 Proxy voting. 452.133 Election of delegates not members of

the labor organization. 452.134 Preservation of records.

Subpart J—Special Enforcement Provisions

452.135 Complaints of members. 452.136 Investigation of complaint by Office

of Labor-Management Standards and court action by the Secretary.

Subpart K—Dates and Scope of Application

452.137 Effective dates. 452.138 Application of other laws.

AUTHORITY: Secs. 401, 402, 73 Stat. 532, 534 (29 U.S.C. 481, 482); Secretary’s Order No. 03– 2012, 77 FR 69376, November 16, 2012.

SOURCE: 38 FR 18324, July 9, 1973, unless otherwise noted.

Subpart A—General Considerations

§ 452.1 Introductory statement. (a) This part discusses the meaning

and scope of the provisions of title IV of the Labor-Management Reporting and Disclosure Act 1 (hereinafter re-ferred to as the Act), which deal with the election of officers of labor organi-zations. These provisions require peri-odic election of union officers, and pre-scribe minimum standards to insure that such elections will be fairly con-ducted. Specific provisions are included to assure the right of union members to participate in selecting their offi-cers without fear of interference or re-prisal, and to protect the right to nominate candidates, run for office, and vote in officer elections. Title IV also sets forth the rights of candidates, provides for secret ballots in appro-priate cases, and requires notice of nominations and elections, preserva-tion of election records, and other safe-guards to insure fair elections. How-ever, the Act does not prescribe com-plete, detailed procedures for the nomi-nation and election of union officers.

(b) Interpretations of the Director with respect to the election provisions of title IV are set forth in this part to

provide those affected by these provi-sions of the Act with ‘‘a practical guide * * * as to how the office representing the public interest in its enforcement will seek to apply it.’’ 2 The correctness of an interpretation can be determined finally and authoritatively only by the courts. It is necessary, however, for the Director to reach informed conclusions as to the meaning of the law to enable him to carry out his statutory duties of administration and enforcement. The interpretations of the Director con-tained in this part, which are issued upon the advice of the Solicitor of Labor, indicate the construction of the law which will guide him in performing his duties unless and until he is di-rected otherwise by authoritative rul-ings of the courts or unless and until he subsequently announces that a prior interpretation is incorrect. However, the fact that a particular problem is not discussed in this part, or in inter-pretations supplementing it, should not be taken to indicate the adoption of any position by the Director with re-spect to such problem or to constitute an administrative interpretation or practice.

(c) To the extent that prior opinions and interpretations relating to the election of officers of labor organiza-tions under the Act are inconsistent or in conflict with the principles stated in this part, they are hereby rescinded and withdrawn.

[38 FR 18324, July 9, 1973, as amended at 78 FR 8026, Feb. 5, 2013]

§ 452.2 Application of union constitu-tion and bylaws.

Elections required to be held as pro-vided in title IV are to be conducted in accordance with the validly adopted constitution and bylaws of the labor organizations insofar as they are not inconsistent with the provisions of the Act.

[38 FR 18324, July 9, 1973, as amended at 63 FR 33780, June 19, 1998]

§ 452.3 Interpretations of constitution and bylaws.

The interpretation consistently placed on a union’s constitution by the


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3 English v. Cunningham, 282 F.2d 848 (C.A.D.C. 1960).

4 However questions involving the use of force or violence or the threat of the use of force or violence under circumstances which may violate section 610 (29 U.S.C. 530) of the Act will be referred promptly to the Depart-ment of Justice for appropriate action.

5 Act, sec. 402(b) (29 U.S.C. 482).

6 Dunlop v. Bachowski, 421 U.S. 560, 570 (1975), citing Wirtz v. Glass Bottle Blowers, 389 U.S. 463, 472 (1968) and Schonfeld v. Wirtz, 285 F. Supp. 705, 707–708 (S.D.N.Y. 1966).

7 73 Stat. 522, 29 U.S.C. 411. 8 But the Secretary may bring suit to en-

force section 104 (29 U.S.C. 414). 9 Act, sec. 101(a)(1), 101(a)(2), and 101(b) (29

U.S.C. 411).

responsible union official or governing body will be accepted unless the inter-pretation is clearly unreasonable. 3

§ 452.4 Investigatory provision—appli-cation.

The provisions of section 601 of the Act provide general investigatory au-thority to investigate alleged viola-tions of the Act including violations of title IV. However, section 601 in and of itself provides no remedy, and the sec-tion must be read in conjunction with the remedy and statutory scheme of section 402, i.e., exhaustion of internal union remedies and a complaint to the Secretary following completion of the election before suit can be filed. In view of the remedy provided, an inves-tigation prior to completion of an elec-tion may have the effect of publicizing the activities or unsubstantiated alle-gations of one faction to the prejudice of the opposition. To avoid this result, and as a matter of sound statutory con-struction, the Department will exercise its investigatory authority only in cir-cumstances in which the outcome of the election could not be affected by the investigation. 4 Thus, the Depart-ment ordinarily will employ its inves-tigatory authority only where the pro-cedural requirements for a title IV in-vestigation have been met; but in un-usual circumstances or where nec-essary to collect or preserve evidence an investigation may be conducted after the conclusion of balloting.

§ 452.5 Effect of violation on outcome.

Since the remedy under section 402 is contingent upon a finding by the court, among other things, that the violation ‘‘may have affected the outcome of an election’’ 5 the Secretary as a matter of policy will not file suit to enforce the election provisions unless the viola-

tions found are such that the outcome may have been affected. 6

[38 FR 18324, July 9, 1973, as amended at 50 FR 31310, Aug. 1, 1985; 63 FR 33780, June 19, 1998]

§ 452.6 Delegation of enforcement au-thority.

The authority of the Secretary under the Act has been delegated in part to the Director.

[38 FR 18324, July 9, 1973, as amended at 50 FR 31309, Aug. 1, 1985; 78 FR 8026, Feb. 5, 2013]

Subpart B—Other Provisions of the Act Affecting Title IV

§ 452.7 Bill of Rights, title I.

The provisions of title I, ‘‘Bill of Rights of Members of Labor Organiza-tions’’ 7 (particularly section 101(a)(1) ‘‘Equal Rights,’’ section 101(a)(2) ‘‘Freedom of Speech and Assembly,’’ and section 101(a)(5) ‘‘Safeguards against Improper Disciplinary Action’’) are related to the rights pertaining to elections. Direct enforcement of title I rights, as such, is limited to civil suit in a district court of the United States by the person whose rights have been infringed. 8 The exercise of particular rights of members is subject to reason-able rules and regulations in the labor organization’s constitution and by-laws. 9

§ 452.8 Trusteeship provisions, title III. Placing a labor organization under

trusteeship consistent with title III, may have the effect of suspending the application of title IV to the trusteed organization (see § 452.15).

§ 452.9 Prohibition against certain per-sons holding office; section 504.

Among the safeguards for labor orga-nizations provided in title V is a prohi-bition against the holding of office by


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10 Act, sec. 504(a) (29 U.S.C. 504), as amend-ed by the Comprehensive Crime Control Act of 1984, Public Law 98–473, secs. 229, 235, 803 and 804. See text at footnote 23 for a list of the disabling crimes.

11 For the scope of the term ‘‘labor organi-zation,’’ see part 451 of this chapter.

12 See § 451.5 of this chapter for a definition of ‘‘State or local central body.’’

13 Most labor organizations composed of Federal Government employees are subject to the standards of conduct provisions of the Civil Service Reform Act, 5 U.S.C. 7120, or the Foreign Service Act, 22 U.S.C. 4117. The regulations implementing those statutory provisions are contained in parts 457–459 of this chapter.

certain classes of persons. 10 This provi-sion makes it a crime for any person willfully to serve in certain positions, including as an elected officer of a labor organization, for a period of three to thirteen years after conviction or imprisonment for the commission of specified offenses, including violation of titles II or III of the Act, or con-spiracy or attempt to commit such of-fenses. It is likewise a crime for any labor organization or officer knowingly to permit such a person to serve in such positions. Persons subject to the prohibition applicable to convicted criminals may serve if their citizenship rights have been fully restored after being taken away by reason of the con-viction, or if, following the procedures set forth in the Act, it is determined that their service would not be con-trary to the purposes of the Act.

[50 FR 31310, Aug. 1, 1985]

§ 452.10 Retaliation for exercising rights.

Section 609, which prohibits labor or-ganizations or their officials from dis-ciplining members for exercising their rights under the Act, and section 610, which makes it a crime for any person to use or threaten force or violence for the purpose of interfering with or pre-venting the exercise of any rights pro-tected under the Act, apply to rights relating to the election of officers under title IV.

Subpart C—Coverage of Election Provisions

§ 452.11 Organizations to which elec-tion provisions apply.

Title IV of the Act contains election provisions applicable to national and international labor organizations, ex-cept federations of such organizations, to intermediate bodies such as general committees, conferences, system boards, joint boards, or joint councils, certain districts, district councils and similar organizations and to local labor

organizations. 11 The provisions do not apply to State and local central bodies, which are explicitly excluded from the definition of ‘‘labor organization’’. 12 The characterization of a particular or-ganizational unit as a ‘‘local,’’ ‘‘inter-mediate,’’ etc., is determined by its functions and purposes rather than the formal title by which it is known or how it classifies itself.

§ 452.12 Organizations comprised of government employees.

An organization composed entirely of government employees (other than em-ployees of the United States Postal Service) is not subject to the election provisions of the Act. Section 3(e) of the Act, defining the term ‘‘employer,’’ specifically excludes the United States Government, its wholly owned corpora-tions, and the States and their polit-ical subdivisions from the scope of that term, and section 3(f) defines an ‘‘em-ployee’’ as an individual employed by an ‘‘employer.’’ Since a ‘‘labor organi-zation’’ is defined in section 3(i) as one in which ‘‘employees’’ participate and which exists in whole or in part for the purpose of ‘‘dealing with employers,’’ an organization composed entirely of government employees would not be a ‘‘labor organization’’ 13 as that term is defined in the Act. However, section 1209 of the Postal Reorganization Act provides that organizations of employ-ees of the United States Postal Service shall be subject to the Labor-Manage-ment Reporting and Disclosure Act. A national, international or intermediate labor organization which has some locals of government employees not covered by the Act and other locals which are mixed or are composed en-tirely of employees covered by the Act would be subject to the election re-quirements of the Act. Its mixed locals


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14 See § 451.6 of this chapter. 15 However, the other provisions of the Act

are applicable immediately upon such forma-tion or merger.

16 See § 452.23 for a discussion of the fre-quency with which the different types of labor organizations must conduct elections of officers. See part 451 of this chapter for the scope of the term ‘‘labor organization.’’

would also be subject to the Act. The requirements would not apply to locals composed entirely of government em-ployees not covered by the Act, except with respect to the election of officers of a parent organization which is sub-ject to those requirements or the elec-tion of delegates to a convention of such parent organization, or to an in-termediate body to which the require-ments apply.

[38 FR 18324, July 9, 1973, as amended at 50 FR 31311, Aug. 1, 1985; 63 FR 33780, June 19, 1998]

§ 452.13 Extraterritorial application. Although the application of the Act

is limited to the activities of persons and organizations within the terri-torial jurisdiction of the United States, 14 an international, national or intermediate body is not exempted from the requirements of the Act by virtue of the participation of its for-eign locals or foreign membership in its elections. For example, votes re-ceived from Canadian members in ref-erendum elections held by an inter-national must have been cast under procedures meeting the minimum re-quirements of the Act, and Canadian delegates participating at conventions of the international at which officers are elected must have been elected by secret ballot.

§ 452.14 Newly formed or merged labor organizations.

The initial selection of officers by newly formed or merged labor organi-zations is not subject to the require-ments of title IV. 15 Such labor organi-zations may have temporary or provi-sional officers serve until a regular election subject to the Act can be scheduled. An election under all the safeguards prescribed in these regula-tions must be held within a reasonable period after the organization begins to function. What would be a reasonable time for this purpose depends on the circumstances, but after the formation or consolidation of the labor organiza-tion, a regular election subject to title

IV may not be deferred longer than the statutory period provided for that type of organization. However, when a pre- existing labor organization changes its affiliation without substantially alter-ing its basic structure or identity the terms of its officers may not be ex-tended beyond the maximum period specified by the Act for the type of labor organization involved.

§ 452.15 Effect of trusteeship. Establishment of a valid trusteeship

may have the effect of suspending the operation of the election provisions of the Act. When the autonomy otherwise available to a subordinate labor organi-zation has been suspended consistent with the provisions of title III of the Act, officers of the organization under trusteeship may be relieved of their du-ties and temporary officers appointed by the trustee if necessary to assist him in carrying out the purposes for which the trusteeship was established. However, when a regular election of of-ficers or an election for purposes of ter-minating the trusteeship is being held during the trusteeship, title IV would apply.

§ 452.16 Offices which must be filled by election.

Section 401 of the Act identifies the types of labor organizations whose offi-cers must be elected and prescribes minimum standards and procedures for the conduct of such elections. Under that section officers of national or international labor organizations (ex-cept federations of such organizations), local labor organizations, and inter-mediate bodies such as general com-mittees, system boards, joint boards, joint councils, conferences, certain dis-tricts, district councils and similar or-ganizations must be elected. 16

§ 452.17 Officer. Section 3(n) of the Act defines the

word ‘‘officer’’ and it is this definition which must be used as a guide in deter-mining what particular positions in a


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17 Cf. NLRB v. Coca-Cola Bottling Co., 350 U.S. 264 (1956). See also, Daily Cong. Rec. 5867, Sen., Apr. 23, 1959.

labor organization are to be filled in the manner prescribed in the Act. For purposes of the Act, ‘‘officer’’ means ‘‘any constitutional officer, any person authorized to perform the functions of president, vice president, secretary, treasurer, or other executive functions of a labor organization, and any mem-ber of its executive board or similar governing body.’’

§ 452.18 Constitutional officers. A constitutional officer refers to a

person holding a position identified as an officer by the constitution and by-laws of the labor organization. Thus, for example, a legislative representa-tive of a labor organization who per-forms no executive functions and whose duties are confined to promoting the interests of members in legislative matters is nevertheless an officer who is required to be elected where the labor organization’s constitution iden-tifies the holder of such a position as an officer. On the other hand, legisla-tive representatives who are required to be elected by the constitution and bylaws of a labor organization are not considered to be officers within the meaning of the Act if they are not des-ignated as such by the constitution, are not members of any executive board or similar governing body, and do not perform executive functions. As defined in the Act, however, the term ‘‘officer’’ is not limited to individuals in positions identified as such or pro-vided for in the constitution or other organic law of the labor organization. 17 The post of Honorary President, Presi-dent Emeritus or Past President that is to be assumed by the retiring chief executive officer of a union would not be an officer position unless it is des-ignated as an officer position by the union’s constitution, or the holder of the position performs executive func-tions or serves on an executive board or similar governing body.

§ 452.19 Executive functions. The definitional phrase ‘‘a person au-

thorized to perform the functions of president, vice president, secretary,

treasurer, or other executive functions of a labor organization’’ brings within the term ‘‘officer’’ any person who in fact has executive or policy-making authority or responsibility, although he may not occupy a position identified as an officer under the constitution and bylaws of the organization. Au-thorization to perform such functions need not be contained in any provision of the constitution or bylaws or other document but may be inferred from ac-tual practices or conduct. On the other hand, a person is not an officer merely because he performs ministerial acts for a designated officer who alone has responsibility. The normal functions performed by business agents and shop stewards, such as soliciting member-ships, presenting or negotiating em-ployee grievances within the work place, and negotiating contracts are not ‘‘other executive functions’’ as that phrase is used in section 3(n) of the Act. However, a directing business representative or a business manager usually exercises such a degree of exec-utive authority as to be considered an officer and, therefore, must be elected. The duties normally pertaining to membership on a bargaining com-mittee do not come within the phrase ‘‘other executive functions.’’ However, persons occupying such non-executive positions may be ‘‘officers’’ if they are ex officio members of the organiza-tion’s executive board (or similar gov-erning body) or if the constitution or bylaws of the union designate such po-sitions as officers.

§ 452.20 Nature of executive functions. (a) The functions that will bring a

particular position with a title other than president, vice-president, sec-retary-treasurer, or executive board member within the definition of ‘‘offi-cer’’ cannot be precisely defined. They are the functions typically performed by officers holding these titles in cur-rent labor union practice. Decisions in each case will require a practical judg-ment. As a general rule, a person will be regarded as being authorized to per-form the functions of president if he is the chief or principal executive officer of the labor organization. Similarly, he will be regarded as being authorized to perform the functions of treasurer if he


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18 See, for example, S. Rept. 187, 86th Cong., 1st sess., p. 7.

19 Act, sec. 401(a) and 401(d) (29 U.S.C. 481). 20 See § 452.14 for a discussion of the selec-

tion of officers in a new or newly-merged labor organization.

has principal responsibility for control and management of the organization’s funds and fiscal operation. A member of any group, committee, or board which is vested with broad governing or policymaking authority will be re-garded as a member of an ‘‘executive board or similar governing body.’’ The name or title that the labor organiza-tion assigns to the position is not con-trolling.

(b) The purpose of the election re-quirement of the Act is to assure that persons in positions of control in labor organizations will be responsive to the desires of the members. 18 Professional and other staff members of the labor organization who do not determine the organization’s policies or carry on its executive functions and who are em-ployed merely to implement policy de-cisions and managerial directives es-tablished by the governing officials of the organization are not officers and are not required to be elected.

§ 452.21 Members of executive board. The phrase ‘‘a member of its execu-

tive board or similar governing body’’ refers to a member of a unit identified as an executive board or a body, what-ever its title, which is vested with functions normally performed by an ex-ecutive board. Members of a committee which is actually the executive board or similar governing body of the union are considered officers within the meaning of section 3(n) of the Act even if they are not so designated by the union’s constitution and bylaws. For example, members of an ‘‘Executive- Grievance Committee’’ which exercises real governing powers are officers under the Act. However, it should be noted that committee membership alone will not ordinarily be regarded as an indication of officer status, unless the committee or its members meet the requirements contained in section 3(n) of the Act.

§ 452.22 Delegates to a convention. Under certain circumstances, dele-

gates to a convention of a national or international labor organization, or to an intermediate body, must be elected

by secret ballot among the members in good standing of the labor organization they represent even though such dele-gates are not ‘‘officers’’ of the organi-zation. Such election is required by the Act 19 when the delegates are to nomi-nate or elect officers of a national or international labor organization, or of an intermediate body. There is, of course, no requirement that delegates be elected in accordance with the pro-visions of title IV if they do not nomi-nate or elect officers, unless delegates are designated as ‘‘officers’’ in the union’s constitution and bylaws or un-less, by virtue of their position, they serve as members of the executive board or similar governing body of the union.

Subpart D—Frequency and Kinds of Elections

§ 452.23 Frequency of elections. The Act requires that all national

and international labor organizations (other than federations of such labor organizations) elect their officers not less often than every five years. Offi-cers of intermediate bodies, such as general committees, system boards, joint boards, joint councils, con-ferences, and certain districts, district councils and similar organizations, must be elected at least every four years, and officers of local labor orga-nizations not less often than every three years.

§ 452.24 Terms of office. The prescribed maximum period of

three, four, or five years is measured from the date of the last election. 20 It would not be consistent with these pro-visions of the Act for officers elected for the maximum terms allowable under the statute to remain in office after the expiration of their terms without a new election. Failure to hold an election for any office after the statutory period has expired con-stitutes a continuing violation of the Act, which may be brought to the at-tention of the Secretary in the form of


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21 Wirtz v. Independent Petroleum Workers of America, 75 LRRM 2340, 63 L.C. ¶ 11,190 (N.D. Ind. 1970).

22 See § 452.119 and following for discussion of indirect elections.

a complaint filed in accordance with the appropriate procedure. Title IV es-tablishes only maximum time intervals between elections for officers. Labor organizations covered by these provi-sions may hold elections of officers with greater frequency than the speci-fied maximum period. For example, a local labor organization is required to hold an election of officers at least once every three years, but it must hold an election every year if its gov-erning rules so provide. It should be noted, moreover, that the provisions of title IV apply to all regular elections of officers in labor organizations subject to the Act. Thus, if a labor organiza-tion chooses to hold elections of offi-cers more frequently than the statu-tory maximum intervals, it must ob-serve the minimum standards set forth in title IV for the conduct of such elec-tions.

§ 452.25 Vacancies in office. Title IV governs the regular periodic

elections of officers in labor organiza-tions subject to the Act. No require-ments are imposed with respect to the filling by election or other method of any particular office which may be-come vacant between such regular elections. If, for example, a vacancy in office occurs in a local labor organiza-tion, it may be filled by appointment, by automatic succession, or by a spe-cial election which need not conform to the provisions of title IV. The provi-sions of section 504 of the Act, which prohibit certain persons from holding office, are applicable to such situa-tions. While the enforcement proce-dures of section 402 are not available to a member in connection with the fill-ing of an interim vacancy, remedies may be available to an aggrieved mem-ber under section 102 of the Act or under any pertinent State or local law.

§ 452.26 Elections in local labor organi-zations.

Local labor organizations must con-duct their regular elections of officers by secret ballot among the members in good standing. All members in good standing of the local labor organization must be given an opportunity to vote directly for candidates to fill the of-fices that serve them. Indirect election

of officers of a local labor organization would violate section 401(b) of the Act. For example, a procedure whereby the local’s membership elects an executive board or some similar body by secret ballot which in turn selects (either from among its own membership or from the local’s membership at large) the persons to fill specific offices would not comply with the Act. 21 Similarly, the election of a chief steward by the shop stewards would violate the Act if the chief steward, by virtue of that po-sition, also serves as a member of the executive board, since members of the executive board must be elected di-rectly by secret ballot among the mem-bers in good standing.

§ 452.27 National, international organi-zations, and intermediate bodies.

The officers of a national or inter-national labor organization or of an in-termediate body must be elected either directly by secret ballot among the members in good standing or indirectly by persons acting in a representative capacity who have been elected by se-cret ballot among all members in good standing. 22

§ 452.28 Unopposed candidates.

An election of officers or delegates that would otherwise be required by the Act to be held by secret ballot need not be held by secret ballot when all candidates are unopposed and the fol-lowing conditions are met: (a) The union provides a reasonable oppor-tunity for nominations; (b) write-in votes are not permitted, as evidenced by provisions in the constitution and bylaws, by an official interpretation fairly placed on such documents, or by established union practice; and (c) the union complies with all other provi-sions of title IV.

§ 452.29 Primary elections.

Where a union holds primary elec-tions or similar procedures for elimi-nating candidates prior to the final


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23 The disabling crimes set forth in the Act, sec. 504(a), as amended by sec. 803 of the Comprehensive Crime Control Act of 1984, Public Law 98–473, (29 U.S.C. 504) are robbery, bribery, extortion, embezzlement, grand lar-ceny, burglary, arson, violation of narcotics laws, murder, rape, assault with intent to kill, assault which inflicts grievous bodily injury, or a violation of title II or III of this Act, any felony involving abuse or misuse of a position or employment in a labor organi-zation or employee benefit plan to seek or obtain an illegal gain at the expense of the members of the labor organization or the beneficiaries of the employee benefit plan, or conspiracy to commit any such crimes or at-tempt to commit any such crimes or a crime in which any of the foregoing crimes is an element.’’

NOTE: The U.S. Supreme Court, on June 7, 1965, held unconstitutional as a bill of at-tainder the section 504 provision which im-poses criminal sanctions on Communist Party members for holding union office; U.S. v. Brown, 381 U.S. 437.

vote in connection with regular elec-tions subject to these provisions, the primary election or other procedure must be conducted in accordance with the same standards required under the Act for the final election.

§ 452.30 Run-off elections. A run-off election must meet the

standards set forth in title IV if the original election was subject to the re-quirements of the Act. For example, if the run-off is to be held at the same meeting as the original election, the original notice of election must have so stated and all records pertaining to the run-off must be retained.

§ 452.31 One candidate for several of-fices.

Where a union constitution or other validly adopted rule provides that a single elected officer will perform the functions of more than one office, a separate election need not be held for each office.

Subpart E—Candidacy for Office; Reasonable Qualifications

§ 452.32 Persons who may be can-didates and hold office; secret bal-lot elections.

Section 401(e) provides that in any election of officers required by the Act which is held by secret ballot, every member in good standing with the ex-ceptions explained in sections fol-lowing shall be eligible to be a can-didate and to hold office. This provi-sion is applicable not only to the elec-tion of officers in local labor organiza-tions, but also to elections of officers in national or international and inter-mediate labor organizations where those elections are held by secret bal-lot referendum among the members, and to the election of delegates to con-ventions at which officers will be elect-ed.

§ 452.33 Persons who may be can-didates and hold office; elections at conventions.

Where elections of national or inter-national labor organizations or of in-termediate bodies are held at a conven-tion of delegates elected by secret bal-lot, protection of the right to be a can-

didate and to hold office is afforded by the requirement in section 401(f) that the convention be conducted in accord-ance with the constitution and bylaws of the labor organization insofar as they are not inconsistent with the pro-visions of title IV. If members in good standing are denied the right to be can-didates by the imposition of unreason-able qualifications on eligibility for of-fice such qualifications would be incon-sistent with the provisions of title IV.

§ 452.34 Application of section 504, LMRDA.

The eligibility of members of labor organizations to be candidates and to hold office in such organizations is sub-ject only to the provisions of section 504(a), which bars individuals convicted of certain crimes from holding office in labor organizations 23 and to reasonable qualifications uniformly imposed. A person who is barred from serving in union office by section 504(a) is not eli-gible to be a candidate. However, a labor organization may permit a per-son who is barred from holding union office by section 504(a) to be a can-didate for office if the section 504 dis-ability will terminate by the cus-tomary date for the installation of offi-cers. A labor organization may within reasonable limits adopt stricter stand-ards than those contained in section


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504(a) by extending the period of dis-ability or by barring from union office persons who have been convicted of crimes other than those specified.

[38 FR 18324, July 9, 1973, as amended at 50 FR 31311, Aug. 1, 1985]

§ 452.35 Qualifications for candidacy. It is recognized that labor organiza-

tions may have a legitimate institu-tional interest in prescribing minimum standards for candidacy and office-holding in the organization. On the other hand, a dominant purpose of the Act is to ensure the right of members to participate fully in governing their union and to make its officers respon-sive to the members. A basic assump-tion underlying the concept of ‘‘free and democratic elections,’’ is that vot-ers will exercise common sense and good judgment in casting their ballots. In union elections as in political elec-tions, the good judgment of the mem-bers in casting their votes should be the primary determinant of whether a candidate is qualified to hold office. Therefore, restrictions placed on the right of members to be candidates must be closely scrutinized to deter-mine whether they serve union pur-poses of such importance, in terms of protecting the union as an institution, as to justify subordinating the right of the individual member to seek office and the interest of the membership in a free, democratic choice of leaders.

§ 452.36 Reasonableness of qualifica-tions.

(a) The question of whether a quali-fication is reasonable is a matter which is not susceptible of precise definition, and will ordinarily turn on the facts in each case. However, court decisions in deciding particular cases have fur-nished some general guidelines. The Supreme Court in Wirtz v. Hotel, Motel and Club Employees Union, Local 6, 391 U.S. 492 at 499 (1968) held that:

Congress plainly did not intend that the authorization in section 401(e) of ‘reasonable qualifications uniformly imposed’ should be given a broad reach. The contrary is implicit in the legislative history of the section and in its wording that ‘every member in good standing shall be eligible to be a candidate and to hold office * * *.’ This conclusion is buttressed by other provisions of the Act

which stress freedom of members to nomi-nate candidates for Office. Unduly restric-tive candidacy qualifications can result in the abuses of entrenched leadership that the LMRDA was expressly enacted to curb. The check of democratic elections as a preven-tive measure is seriously impaired by can-didacy qualifications which substantially de-plete the ranks of those who might run in op-position to incumbents.

Union qualifications for office should not be based on assumptions that cer-tain experience or qualifications are necessary. Rather it must be assumed that the labor organization members will exercise common sense and judg-ment in casting their ballots. ‘‘Con-gress’ model of democratic elections was political elections in this country’’ (Wirtz v. Local 6, 391 U.S. at 502) and a qualification may not be required with-out a showing that citizens assumed to make discriminating judgments in pub-lic elections cannot be relied on to make such judgments when voting as union members.

(b) Some factors to be considered, therefore, in assessing the reasonable-ness of a qualification for union office are:

(1) The relationship of the qualifica-tion to the legitimate needs and inter-ests of the union;

(2) The relationship of the qualifica-tion to the demands of union office;

(3) The impact of the qualification, in the light of the Congressional purpose of fostering the broadest possible par-ticipation in union affairs;

(4) A comparison of the particular qualification with the requirements for holding office generally prescribed by other labor organizations; and

(5) The degree of difficulty in meet-ing a qualification by union members.

§ 452.37 Types of qualifications. Ordinarily the following types of re-

quirements may be considered reason-able, depending on the circumstances in which they are applied and the effect of their application:

(a) Period of prior membership. It would ordinarily be reasonable for a local union to require a candidate to have been a member of the organiza-tion for a reasonable period of time, not exceeding two years, before the election. However, if a member is in-voluntarily compelled to transfer from


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24 In Goldberg v. Amarillo General Drivers, Teamsters Local 577, 214 F. Supp. 74 (N.D. Tex. 1963), the disqualification of five nominees for union office for failure to satisfy a con-stitutional provision requiring candidates for office to have maintained continuous good standing for two years by paying their dues on or before the first business day of the current month, in advance, was held to be unreasonable. See also Wirtz v. Local Unions No. 9, 9–A and 9–B, International Union of Operating Engineers, 254 F. Supp. 980 (D. Colo. 1965), aff’d. 366 F. 2d 911 (CA 10 1966), va-cated as moot 387 U.S. 96 (1967).

25 If a meeting attendance requirement dis-qualifies a large portion of members from candidacy, that large antidemocratic effect alone may be sufficient to render the re-quirement unreasonable. In Doyle v. Brock, 821 F.2d 778 (D.C. Circuit 1987), the court held that the impact of a meeting attendance re-quirement which disqualified 97% of the union’s membership from candidacy was by itself sufficient to make the requirement un-reasonable notwithstanding any of the other factors set forth in 29 CFR 452.38(a).

one local to another, such a require-ment would not be reasonable if he is not given credit for his prior period of membership.

(b) Continuity of good standing. A re-quirement of continuous good standing based on punctual payment of dues will be considered a reasonable qualifica-tion only if (1) it provides a reasonable grace period during which members may make up missed payments with-out loss of eligibility for office, 24 and (2) the period of time involved is rea-sonable. What are reasonable periods of time for these purposes will depend upon the circumstances. Section 401(e) of the Act provides that a member whose dues have been withheld by the employer for payment to the labor or-ganization pursuant to his voluntary authorization provided for in a collec-tive bargaining agreement may not be declared ineligible to vote or be a can-didate for office by reason of alleged delay or default in the payment of dues. If during the period allowed for payment of dues in order to remain in good standing, a member on a dues checkoff system has no earnings from which dues can be withheld, section 401(e) does not relieve the member of the responsibility of paying his dues in order to remain in good standing.

§ 452.38 Meeting attendance require-ments.

(a) It may be reasonable for a labor organization to establish a require-ment of attendance at a specified num-ber of its regular meetings during the period immediately preceding an elec-tion, in order to insure that candidates have a demonstrated interest in and fa-miliarity with the affairs of the organi-zation. In the past, it was ordinarily considered reasonable to require at-

tendance at no more than 50 percent of the meetings over a period not exceed-ing two years. Experience has dem-onstrated that it is not feasible to es-tablish arbitrary guidelines for judging the reasonableness of such a qualifica-tion. Its reasonableness must be gauged in the light of all the cir-cumstances of the particular case, in-cluding not only the frequency of meet-ings, the number of meetings which must be attended and the period of time over which the requirement ex-tends, but also such factors as the na-ture, availability and extent of excuse provisions, whether all or most mem-bers have the opportunity to attend meetings, and the impact of the rule, i.e., the number or percentage of mem-bers who would be rendered ineligible by its application. 25

(a—1) In Steelworkers, Local 3489 v. Usery, 429 U.S. 305, 94 LRRM 2203, 79 L.C. ¶ 11,806 (1977), the Supreme Court found that this standard for deter-mining validity of meeting attendance qualifications was the type of flexible result that Congress contemplated when it used the word ‘‘reasonable.’’ The Court concluded that Congress, in guaranteeing every union member the opportunity to hold office, subject only to ‘‘reasonable qualifications,’’ dis-abled unions from establishing eligi-bility qualifications as sharply restric-tive of the openness of the union polit-ical process as the Steelworkers’ at-tendance rule. The rule required at-tendance at fifty percent of the meet-ings for three years preceding the elec-tion unless prevented by union activi-ties or working hours, with the result that 96.5 percent of the members were ineligible.

(b) Other guidance is furnished by lower court decisions which have held


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26 Wirtz v. Hotel, Motel and Club Employees Union, Local 6, 391 U.S. 492 at 504. The Court stated that the union, in applying such a

rule, ‘‘* * * assumes that rank and file union members are unable to distinguish qualified from unqualified candidates for particular offices without a demonstration of a can-didate’s performance in other offices. But Congress’ model of democratic elections was political elections in this Country, and they are not based on any such assumption. Rath-er, in those elections the assumption is that voters will exercise common sense and judg-ment in casting their ballots. Local 6 made no showing that citizens assumed to make discriminating judgments in public elections cannot be relied on to make such judgments when, voting as union members * * *.’’

particular meeting attendance require-ments to be unreasonable under the following circumstances: One meeting during each quarter for the three years preceding nomination, where the effect was to disqualify 99 percent of the membership (Wirtz v. Independent Workers Union of Florida, 65 LRRM 2104, 55 L.C. par. 11,857 (M.D. Fla., 1967)); 75 percent of the meetings held over a two-year period, with absence excused only for work or illness, where over 97 percent of the members were ineligible (Wirtz v. Local 153, Glass Bottle Blowers Ass’n, 244 F. Supp. 745 (W.D. Pa., 1965), order vacating decision as moot, 372 F. 2d 86 (C.A. 3 1966), reversed 389 U.S. 463; decision on remand, 405 F.2d 176 (C.A. 3 1968)); Wirtz v. Local 262, Glass bottle Blowers Ass’n., 290 F. Supp. 965 (N.D. Cal., 1968)); attendance at each of eight meetings in the two months between nomination and election, where the meetings were held at widely scattered locations within the State (Hodgson v. Local Union No. 624 A-B, International Union of Operating Engineers, 80 LRRM 3049, 68 L.C. par. 12,816 (S.D. Miss. Feb. 19, 1972)); attendance at not less than six regular meetings each year during the twenty-four months prior to an election which has the effect of requir-ing attendance for a period that must begin no later than eighteen months before a biennial election (Usery v. Local Division 1205, Amalgamated Transit Union, 545 F. 2d 1300 (C.A. 1, 1976)).

[38 FR 18324, July 3, 1973, as amended at 42 FR 39105, Aug. 2, 1977; 42 FR 41280, Aug. 16, 1977; 42 FR 45306, Sept. 9, 1977; 50 FR 31311, Aug. 1, 1985; 60 FR 57178, Nov. 14, 1995]

§ 452.39 Participation in insurance plan.

In certain circumstances, in which the duties of a particular office require supervision of an insurance plan in more than the formal sense, a union may require candidates for such office to belong to the plan.

§ 452.40 Prior office holding. A requirement that candidates for of-

fice have some prior service in a lower office is not considered reasonable. 26

§ 452.41 Working at the trade.

(a) It would ordinarily be reasonable for a union to require candidates to be employed at the trade or even to have been so employed for a reasonable pe-riod. In applying such a rule an unem-ployed member is considered to be working at the trade if he is actively seeking such employment. Such a re-quirement should not be so inflexible as to disqualify those members who are familiar with the trade but who be-cause of illness, economic conditions, or other good reasons are temporarily not working.

(b) It would be unreasonable for a union to prevent a person from con-tinuing his membership rights on the basis of failure to meet a qualification which the union itself arbitrarily pre-vents the member from satisfying. If a member is willing and able to pay his union dues to maintain his good stand-ing and his right to run for office, it would be unreasonable for the union to refuse to accept such dues merely be-cause the person is temporarily unem-ployed. Where a union constitution re-quires applicants for membership to be actively employed in the industry served by the union, a person who be-comes a member would not be consid-ered to forfeit his membership in the union or any of the attendant rights of membership merely because he is dis-charged or laid off.

(c) Ordinarily members working part- time at the trade may not for that rea-son alone be denied the right to run for office.


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27 Hodgson v. Local Unions No. 18, etc., IUOE, 440 F. 2d 485 (C.A. 6), cert. den. 404 U.S. 852 (1971); Hodgson v. Local 610, Unit. Elec. Radio & Mach. Work. of Am., 342 F. Supp. 1344 (W.D. Pa. 1972).

28 Shultz v. Local 1291, International Long-shoremen’s Association, 338 F. Supp. 1204 (E.D. Pa.), aff’d, 461 F.2d 1262 (C.A. 3 1972).

(d) A labor organization may post-pone the right to run for office of mem-bers enrolled in a bona fide apprentice-ship program until such members com-plete their apprenticeship.

§ 452.42 Membership in particular branch or segment of the union.

A labor organization may not limit eligibility for office to particular branches or segments of the union where such restriction has the effect of depriving those members who are not in such branch or segment of the right to become officers of the union. 27

§ 452.43 Representative categories. In the case of a position which is rep-

resentative of a unit defined on a geo-graphic, craft, shift, or similar basis, a labor organization may by its constitu-tion or bylaws limit eligibility for can-didacy and for holding office to mem-bers of the represented unit. For exam-ple, a national or international labor organization may establish regional vice-presidencies and require that each vice-president be a member of his re-spective region. This kind of limitation would not be considered reasonable, however, if applied to general officers such as the president, vice-president, recording secretary, financial sec-retary, and treasurer. If eligibility of delegates to a convention which will elect general officers is limited to spe-cial categories of members, all such categories within the organization must be represented.

§ 452.44 Dual unionism. While the Act does not prohibit a

person from maintaining membership or holding office in more than one labor organization, it would be consid-ered reasonable for a union to bar from candidacy for office persons who hold membership in a rival labor organiza-tion.

§ 452.45 Multiple office holding. An officer may hold more than one

office in a labor organization so long as

this is consistent with the constitution and bylaws of the organization.

§ 452.46 Characteristics of candidate.

A labor organization may establish certain restrictions on the right to be a candidate on the basis of personal char-acteristics which have a direct bearing on fitness for union office. A union may, for example, require a minimum age for candidacy. However, a union may not establish such rules if they would be inconsistent with any other Federal law. Thus, it ordinarily may not limit eligibility for office to per-sons of a particular race, color, reli-gion, sex, or national origin since this would be inconsistent with the Civil Rights Act of 1964. 28 Nor may it estab-lish a general compulsory retirement age or comparable age restriction on candidacy since this would be incon-sistent with the Age Discrimination in Employment Act of 1967, as amended. A union may not require candidates for office to be registered voters and to have voted in public elections during the year preceding their nominations. Nor may it require that candidates have voted in the previous union elec-tion to be eligible. Such restrictions may not be said to be relevant to the members’ fitness for office.

[53 FR 8751, Mar. 17, 1988, as amended at 53 FR 23233, June 21, 1988]

§ 452.47 Employer or supervisor mem-bers.

Inasmuch as it is an unfair labor practice under the Labor Management Relations Act (LMRA) for any em-ployer (including persons acting in that capacity) to dominate or interfere with the administration of any labor organization, it follows that employ-ers, while they may be members, may not be candidates for office or serve as officers. Thus, while it is recognized that in some industries, particularly construction, members who become su-pervisors, or contractors traditionally keep their union membership as a form of job security or as a means of retain-ing union benefits, such persons may


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29 See Nassau and Suffolk Contractors’ As-sociation, 118 NLRB No. 19 (1957). See also Local 636, Plumbers v. NLRB, 287 F.2d 354 (C.A. D.C. 1961).

30 Under section 2(11) of the Labor Manage-ment Relations Act, supervisors include indi-viduals ‘‘having authority, in the interest of the employer, to hire, transfer, suspend, lay off, recall, promote, discharge, assign, re-ward, or discipline other employees, or re-sponsibly to direct them, or to adjust their grievances, or effectively to recommend such action, if in connection with the foregoing the exercise of such authority is not of a merely routine or clerical nature, but re-quires the use of independent judgment.’’

not be candidates for or hold office. 29 Whether a restriction on officeholding by members who are group leaders or others performing some supervisory duties is reasonable depends on the particular circumstances. For instance, if such persons might be considered ‘‘supervisors’’ 30 under the LMRA, their right to be candidates under the Act may be limited. Another factor in de-termining the reasonableness of a ban on such persons is the position (if any) of the NLRB on the status of the par-ticular employees involved. If, for ex-ample, the NLRB has determined that certain group leaders are part of the bargaining unit, it might be unreason-able for the union to prohibit them from running for office. An overall con-sideration in determining whether a member may fairly be denied the right to be a candidate for union office as an employer or supervisor is whether there is a reasonable basis for assum-ing that the person involved would be subject to a conflict of interest in car-rying out his representative duties for employees and rank and file union members.

[38 FR 18324, July 3, 1973, as amended at 39 FR 37360, Oct. 21, 1974]

§ 452.48 Employees of union.

A labor organization may in its con-stitution and bylaws prohibit members who are also its full-time non-elective employees from being candidates for union office, because of the potential conflict of interest arising from the employment relationship which could be detrimental to the union as an insti-tution.

§ 452.49 Other union rules. (a) Unions may establish such other

reasonable rules as are necessary to protect the members against leaders who may have committed serious of-fenses against the union. For example, a union may, after appropriate pro-ceedings, bar from office persons who have misappropriated union funds, even if such persons were never in-dicted and convicted in a court of law for their offenses. Of course, the union would have to provide reasonable pre-cautions to insure that no member is made ineligible to hold office on the basis of unsupported allegations and that any rights guaranteed him by the constitution and bylaws are protected. Similarly, a union may require an elected officer to sign an affidavit aver-ring that he is not barred from serving as an officer by the provisions of sec-tion 504 of the Act since the union and its officers may not permit a person to serve as an officer if he is so barred (see footnote 23).

(b) It would not violate the Act for a union to prohibit successive terms in office or to limit the number of years an officer may serve. Such rules are in-tended to encourage as many members as possible to seek positions of leader-ship in the organization.

§ 452.50 Disqualification as a result of disciplinary action.

Section 401(e) was not intended to limit the right of a labor organization to take disciplinary action against members guilty of misconduct. So long as such action is conducted in accord-ance with section 101(a)(5), a union may, for example, if its constitution and bylaws so provide, bar from office for a period of time any member who is guilty of specific acts, such as strike-breaking, detrimental to the union as an institution. However, if a union has improperly disciplined a member and barred him from candidacy, the Sec-retary may, in an appropriate case, treat him as a member in good stand-ing entitled to all of the rights of mem-bers guaranteed by title IV.

§ 452.51 Declaration of candidacy. A union may not adopt rules which in

their effect discourage or paralyze any opposition to the incumbent officers.


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29 CFR Ch. IV (7–1–16 Edition) § 452.52

31 Wirtz v. Local 30, IUOE, 242 F. Supp. 631 (S.D. N.Y. 1965) reversed as moot 366 F.2d 438 (C.A. 2, 1966), reh. den. 366 F.2d 438.

32 Wirtz v. Local Union 559, United Brother-hood of Carpenters and Joiners of America, 61 LRRM 2618, 53 L.C. ¶ 11.044 (W.D. Ky. 1966); Hodgson v. Longshoremen’s Local 1655 New Or-leans Dray Clerks, 79 LRRM 2893, 67 L.C. ¶ 12,466 (E.D. La. January 5, 1972).

33 Hodgson v. Longshoremen’s Local 1655, New Orleans Dray Clerks, 79 LRRM 2893, 67 L.C. ¶ 12,466 (E.D. La. January 5, 1972)

Therefore, it would not be a reasonable qualification to require members to file a declaration of candidacy several months in advance of the nomination meeting since such a requirement would have such effect and ‘‘serves no reasonable purpose which cannot oth-erwise be satisfied without resort to this procedure.’’ 31

§ 452.52 Filing fee. It would be unreasonable to require

candidates for office to pay a filing fee because a fee limits the right of mem-bers to a reasonable opportunity to nominate the candidates of their choice and there is no objective rela-tionship between the requirement and the ability to perform the duties of the office.

§ 452.53 Application of qualifications for office.

Qualifications for office which may seem reasonable on their face may not be proper if they are applied in an un-reasonable manner or if they are not applied in a uniform way. An essential element of reasonableness is adequate advance notice to the membership of the precise terms of the requirement. A qualification which is not part of the constitution and bylaws or other duly enacted rules of the organization may not be the basis for denial of the right to run for office, unless required by Federal or State law. 32 Qualifications must be specific and objective. They must contain specific standards of eli-gibility by which any member can de-termine in advance whether or not he is qualified to be a candidate. For ex-ample, a constitutional provision which states that ‘‘a candidate shall not be eligible to run for office who in-tends to use his office as a cloak to ef-fect purposes inimical to the scope and policies of the union’’ would not be a reasonable qualification within the meaning of section 401(e) because it is

so general as to preclude a candidate from ascertaining whether he is eligi-ble and would permit determinations of eligibility based on subjective judg-ments. Further, such a requirement is by its nature not capable of being uni-formly imposed as required by section 401(e).

§ 452.54 Retroactive rules. (a) The reasonableness of applying a

newly adopted restriction on candidacy retroactively depends in part upon the nature of the requirement. It would be unreasonable for a labor organization to enforce eligibility requirements which the members had no opportunity to satisfy. For example, it would not be reasonable for a union to apply a newly adopted meeting attendance require-ment retroactively since members would have no opportunity to comply with such requirement prior to its ef-fective date. 33 When such a rule is in effect the membership is entitled to ad-vance notice of the requirements of the rule and of the means to be used in verifying attendance. It would not be unreasonable, however, for a union to adopt and enforce a rule disqualifying persons convicted of a felony from being candidates or holding office.

(b) It would not be proper for a labor organization to amend its constitution after an election to make eligible a person who had been elected but who was not eligible at the time of the elec-tion.

Subpart F—Nominations for Office § 452.55 Statutory provisions con-

cerning nomination. In elections subject to the provisions

of title IV a reasonable opportunity must be afforded for the nomination of candidates. Although the Act does not prescribe particular forms of nomina-tion procedures, it does require that the procedures employed be reasonable and that they conform to the provi-sions of the labor organization’s con-stitution and bylaws insofar as they are not inconsistent with the provi-sions of title IV.


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34 See Wirtz v. National Maritime Union of America, 399 F.2d 544 (C.A. 2 1968).

§ 452.56 Notice. (a) To meet this requirement, the

labor organization must give timely notice reasonably calculated to inform all members of the offices to be filled in the election as well as the time, place, and form for submitting nomina-tions. Such notice should be distin-guished from the notice of election, discussed in § 452.99. Notice of nomina-tions need not necessarily be given at least 15 days before nominations are held, nor is it required to be given by mail. In an election which is to be held by secret ballot, accordingly, notice of nominations may be given in any man-ner reasonably calculated to reach all members in good standing and in suffi-cient time to permit such members to nominate the candidates of their choice, so long as it is in accordance with the provisions of the labor organi-zation’s constitution or bylaws. Mail-ing such notice to the last known ad-dress of each member within a reason-able time prior to the date for making nominations would satisfy this require-ment. Likewise, timely publication in the union newspaper with sufficient prominence to be seen by all members would be adequate notice. The method of making nominations, whether by mail, petition, or at meetings, could af-fect the determination of the timeli-ness of the notice. The nomination no-tice may be combined with the election notice if the requirements of both are met. Posting of a nomination notice may satisfy the requirement of a rea-sonable opportunity for making nomi-nations if such posting is reasonably calculated to inform all members in good standing in sufficient time to per-mit such members to nominate the candidates of their choice.

(b) The requirement of a reasonable opportunity for the nomination of can-didates has been met only when the members of a labor organization are fully informed of the proper method of making such nominations.

§ 452.57 Procedures for nomination. (a) Since the Act does not prescribe

particular procedures for the nomina-tion of candidates, the labor organiza-tion is free to employ any method that will provide a reasonable opportunity for making nominations. There are

various methods which, if properly and fairly employed, would be considered reasonable under the Act. For example, nominations may be by petition, or from the floor at a nomination meet-ing.

(b) Whether a particular procedure is sufficient to satisfy the requirements of the Act is a question which will de-pend upon the particular facts in each case. While a particular procedure may not on its face violate the require-ments of the Act, its application in a given instance may make nomination so difficult as to deny the members a reasonable opportunity to nominate.

§ 452.58 Self-nomination. A system of self-nomination, if this

is the only method for making nomina-tions, deprives union members of a rea-sonable opportunity to nominate can-didates and thus is inconsistent with the provisions of title IV. 34 Self-nomi-nation is permissible only if the mem-bers are afforded additional methods whereby they may nominate the can-didates of their choice.

§ 452.59 Presence of nominee. A requirement that members must be

present at the nomination meeting in order to be nominated for office might be considered unreasonable in certain circumstances; for example, in the ab-sence of a provision for an alternative method under which a member who is unavoidably absent from the nomina-tion meeting may be nominated, such a restriction might be regarded as incon-sistent with the requirement in section 401(e) that there be a reasonable oppor-tunity to nominate and to be a can-didate.

§ 452.60 Nominations for national, international or intermediate body office.

(a) When officers of a national or international labor organization or of an intermediate body are to be elected by secret ballot among the members of the constituent local unions, it is not unreasonable for the organization to employ a nominating procedure where-by each local may nominate only one


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29 CFR Ch. IV (7–1–16 Edition) § 452.61

35 In Hodgson v. United Mine Workers of America, the Court directed that the nomina-tion proceedings within the local unions be conducted by secret ballot and in accordance with the provisions of title IV. [80 LRRM 3451, 68 L.C. ¶ 12,786 (D.D.C. June 15, 1972)]. This Order indicates that the use of secret ballot nominating procedures may be an ap-propriate remedial measure in a supervised election. 36 See § 452.79.

candidate for each office. When such a procedure is employed the organization may require that each candidate be nominated by a certain number of locals before his name will appear on the ballot. The reasonableness of the number of local union nominations or endorsements required depends upon the size and dispersion of the organiza-tion.

(b) Nominations for national, inter-national or intermediate body office by locals or other subordinate organiza-tions differ from primary elections in that they are not subject to all the technical requirements of secret ballot elections. 35 However, where nomina-tions are made by locals or other sub-ordinate organizations fundamental safeguards must be observed including the right of members to vote for and support the candidates of their choice without improper interference.

§ 452.61 Elimination contests—local unions.

(a) A procedure in a local under which nominees compete in an elimi-nation process to reduce the number of candidates in the final balloting is also part of the election process and must be conducted by secret ballot.

(b) When such an elimination process is used it would be unreasonable for some nominees, such as those selected by a nominating committee, to be ex-empt from the process since they would thus be given an unfair advantage over other nominees.

§ 452.62 Disqualification of candidates; procedural reasons.

A candidate who is otherwise eligible for office may not be disqualified be-cause of the failure of a union officer to perform his duties which are beyond the candidate’s control. For example, the failure of a local recording sec-retary to perform his duty to complete

and forward a candidate’s nomination certificate to the district may not be used as the basis for disqualifying the candidate.

§ 452.63 Nominations at conventions.

In elections at conventions at which nominations are also made, delegates who have been elected by secret ballot must be given ample opportunity to nominate candidates on behalf of themselves or the members they rep-resent. A union may adopt a rule lim-iting access to the convention floor to delegates. However, once the can-didates have been nominated, they must be accorded equal opportunity to campaign. 36 Where delegates are in-structed by locals to nominate can-didates, the constitution of the organi-zation or the convention rules should provide a specific procedure for the im-plementation of nominating instruc-tions issued by any local to its dele-gate.

§ 452.64 Write-in votes.

The Act neither requires nor pro-hibits write-in candidacy or write-in votes. These matters are governed by appropriate provisions of the union’s constitution and bylaws, applicable resolutions, or the established practice of the union.

§ 452.65 Interval between nominations and election.

The Act specifies no time interval be-tween nominations and election. Thus, both may be scheduled to be held at the same meeting if, during a reason-able period prior to such nomination- election meeting, every member eligi-ble to hold office who intends to run for office is afforded the protection provided in section 401(c), including sufficient opportunity to campaign for office.

Subpart G—Campaign Safeguards

§ 452.66 Statutory provisions.

The opportunity for members to have a free, fair, and informed expression of


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their choices among candidates seek-ing union office is a prime objective of title IV of the Act. Voters can best be assured opportunity for an informed choice if certain campaign rights are guaranteed to candidates and their supporters. To this end, the statute provides that adequate safeguards to insure a fair election shall be provided, and states certain specific safeguards. These safeguards apply not only to candidates for officer positions as de-fined in the Act but also to candidates for delegate posts, if the delegates are to nominate or elect officers.

§ 452.67 Distribution of campaign lit-erature.

The Act imposes the duty on the union and its officers to comply with all reasonable requests of any can-didate to distribute his campaign lit-erature to the membership at his ex-pense. When the organization or its of-ficers authorize distribution of cam-paign literature on behalf of any can-didate, similar distribution under the same conditions must be made for any other candidate, if he requests it. In order to avoid charges of disparity of treatment among candidates, it is ad-vised that a union inform all can-didates in advance of the conditions under which distribution will be made and promptly advise them of any change in those conditions.

§ 452.68 Distribution to less than full membership.

Although section 401(c) specifies dis-tribution to ‘‘all members in good standing,’’ a labor organization must also honor requests for distribution of literature to only a portion of the membership if such distribution is practicable. Each candidate may choose his own ways of campaigning for election according to his own inge-nuity and resources. For example, some candidates for national or inter-national union office may desire to limit distribution to delegates, but others may want to appeal directly to the membership or parts thereof in an effort to influence particular constitu-encies to choose delegates favorable to their candidacy.

§ 452.69 Expenses of campaign lit-erature.

Each candidate must be treated equally with respect to the expense of such distribution. Thus, a union and its officers must honor a candidate’s re-quest for distribution where the can-didate is willing and able to bear the expense of such distribution. However, should the candidate be unable to bear such expense, there is no requirement that the union distribute the literature of the candidate free of charge. In the event the union distributes any can-didate’s literature without charge, however, all other candidates are enti-tled to have their literature distributed on the same basis. Since labor organi-zations have an affirmative duty to comply with all reasonable requests of any candidate to distribute campaign literature (at the candidate’s expense), a union rule refusing all such distribu-tions would not be proper, even though applied in a nondiscriminatory fashion. In view of the fact that expenses of dis-tribution are to be borne by the can-didate a labor organization may not refuse to distribute campaign lit-erature merely because it may have a small staff which cannot handle such distribution for all candidates. If this is the case, the organization may em-ploy additional temporary staff or con-tract the job to a professional mailer and charge the expense incurred to the candidates for whom the service is being rendered. The organization may require candidates to tender in advance the estimated costs of distributing their literature, if such requirement is applied uniformly.

§ 452.70 Contents of literature. The Act does not and unions may not

regulate the contents of campaign lit-erature which candidates may wish to have distributed by the union. This is left to the discretion of each candidate. The labor organization may not require that it be permitted to read a copy of the literature before it is sent out, nor may it censor the statements of the candidates in any way, even though the statement may include derogatory re-marks about other candidates. Fur-thermore, a union’s contention that mailing of certain campaign literature may constitute libel for which it may


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29 CFR Ch. IV (7–1–16 Edition) § 452.71

37 See Philo v. Stellato, (E.D. Mich. Civil No. 21244, May 24, 1961); Ansley v. Fulco, (Calif. Ct. of Appeal, First App. District, Div. Three, 1 Civil No. 29483, May 31, 1972).

be sued has been held not to justify its refusal to distribute the literature, since the union is under a statutory duty to distribute the material. 37

§ 452.71 Inspection of membership lists.

(a) Each bona fide candidate for of-fice has a right, once within 30 days prior to any election in which he is a candidate, to inspect a list containing the names and last known addresses of all members of the labor organization who are subject to a collective bar-gaining agreement requiring member-ship therein as a condition of employ-ment. The right of inspection does not include the right to copy the list but does include the right to compare it with a personal list of members. It is the intent of the Act that such mem-bership lists be made available for in-spection at the candidates’ option any time within the 30-day period. The list is not required to be maintained con-tinuously and may be compiled imme-diately before each election. The form in which the list is to be maintained is not specified by the Act. Thus, a card index system may satisfy the require-ments of the Act. The list may be orga-nized alphabetically or geographically, or by local in a national or inter-national labor organization.

(b) It is the duty of the labor organi-zation and its officers to refrain from discrimination in favor of or against any candidate with respect to the use of lists of members. Thus, if a union permits any candidate to use such lists in any way other than the right of in-spection granted by the Act, it must inform all candidates of the avail-ability of the list for that purpose and accord the same privilege to all can-didates who request it. Such privileges may include permitting inspection of the list where members are not subject to a collective bargaining agreement requiring membership as a condition of employment, inspecting the list more than once, or copying the list.


§ 452.72 Period of inspection. The Act specifies the maximum pe-

riod during which the right of inspec-tion of membership lists is to be grant-ed. The opportunity to inspect the lists must be granted once during the 30-day period prior to the casting of ballots in the election. Thus, where a mail ballot system is employed under which bal-lots are returnable as soon as received by members, the right to inspect must be accorded within the 30-day period prior to the mailing of the ballots to members. It would be an unreasonable restriction to permit inspection of lists only after the ballots have been mailed or the balloting has commenced.

§ 452.73 Use of union funds. In the interest of fair union elec-

tions, section 401(g) of the Act places two limitations upon the use of labor organization funds derived from dues, assessments, or similar levy. These limitations are:

(a) No such funds may be contributed or applied to promote the candidacy of any person in an election subject to title IV, either in an election within the organization expending the funds or in any other labor organization; and

(b) No such funds may be used for issuing statements involving can-didates in the election. This section is not intended to prohibit a union from assuming the cost of dis-tributing to the membership on an equal basis campaign literature sub-mitted to the union by the candidates pursuant to the rights granted by sec-tion 401(c), as previously discussed, nor does it prohibit the expenditure of such funds for notices, factual statements of issues not involving candidates, and other expenses necessary for the hold-ing of the election.

§ 452.74 Expenditures permitted. The Act does not prohibit impartial

publication of election information. Thus, it would not be improper for a union to sponsor a debate at which all candidates for a particular office are afforded equal opportunity to express their views to the membership prior to an election. Similarly, a union may issue information sheets containing bi-ographical data on all candidates so


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38 Hodgson v. Liquor Salesmen’s Union, Local No. 2, 334 F.Supp. 1369 (S.D. N.Y.) aff’d 444 F.2d 1344 (C.A. 2 1971); Shultz v. Local Union 6799, United Steelworkers, 426 F.2d 969 (C.A. 9 1970).

39 Retail Clerks Union, Local 648 v. Retail Clerks International Association, 299 F.Supp. 1012, 1024 (D.D.C. 1969).

long as all candidates are given equal opportunity to submit such data.

§ 452.75 Union newspapers. The provisions of section 401(g) pro-

hibit any showing of preference by a labor organization or its officers which is advanced through the use of union funds to criticize or praise any can-didate. Thus, a union may neither at-tack a candidate in a union-financed publication nor urge the nomination or election of a candidate in a union-fi-nanced letter to the members. Any such expenditure regardless of the amount, constitutes a violation of sec-tion 401(g). 38

§ 452.76 Campaigning by union offi-cers.

Unless restricted by constitutional provisions to the contrary, union offi-cers and employes retain their rights as members to participate in the af-fairs of the union, including cam-paigning activities on behalf of either faction in an election. However, such campaigning must not involve the ex-penditure of funds in violation of sec-tion 401(g). Accordingly, officers and employees may not campaign on time that is paid for by the union, nor use union funds, facilities, equipment, sta-tionery, etc., to assist them in such campaigning. Campaigning incidental to regular union business would not be a violation.

§ 452.77 Permissible use of union funds.

Certain uses of union funds are con-sidered permissible under section 401(g). For example, a court ruled that money of a subordinate union may be contributed to a committee formed to challenge the results of a national union election under title IV when such contributions are properly au-thorized by the members in an effort to pursue election remedies both within and outside the union. In holding such activity to be outside the prohibitions of section 401(g), although the com-

mittee was formed by defeated can-didates and their supporters, the court stated that ‘‘* * * It does not promote the candidacy of any person if an elec-tion is declared invalid by a court under title IV’s procedure despite the fact that in the rerun election the can-didates may be identical. Neither the winner nor the loser of the disputed election gains votes by the setting aside of the election. Such action is not a vote-getting device but merely re-turns the parties to their pre-election status; it does not place any candidate into office.’’ 39


§ 452.78 Expenditures by employers.

(a) As an additional safeguard, sec-tion 401(g) provides that no money of an employer is to be contributed or ap-plied to promote the candidacy of any person in an election subject to the provisions of title IV. This includes in-direct as well as direct expenditures. Thus, for example, campaigning by union stewards on company time with the approval of the employer would violate section 401(g) unless it can be shown that they are on legitimate work assignments, and that their cam-paign activities are only incidental to the performance of their assigned task and do not interfere with its perform-ance. This prohibition against the use of employer money includes any costs incurred by an employer, or anything of value contributed by an employer, in order to support the candidacy of any individual in an election. It would not, however, extend to ordinary business practices which result in conferring a benefit, such as, for example, a dis-count on the cost of printing campaign literature which is made available on the same terms to other customers.

(b) The prohibition against the use of employer money to support the can-didacy of a person in any election sub-ject to the provisions of title IV is not restricted to employers who employ members of the labor organization in which the election is being conducted,


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29 CFR Ch. IV (7–1–16 Edition) § 452.79

40 Wirtz v. American Guild of Variety Artists, 267 F. Supp. 527 (S.D.N.Y. 1967).

41 Yablonski v. United Mine Workers, 71 LRRM 2606, 60 L.C. 10,204 (D.D.C. 1969).

42 Antal v. UMW District 5, 64 LRRM 2222, 54 L.C. 11,621 (W.D. Pa. 1966); Schonfeld v. Rarback, 49 L.C. 19,039 (S.D.N.Y. 1964).

or who have any business or contrac-tual relationship with the labor organi-zation.

§ 452.79 Opportunity to campaign.

There must be a reasonable period prior to the election during which of-fice-seekers and their supporters may engage in the campaigning that the Act contemplates and guarantees. What is a reasonable period of time would depend upon the circumstances, including the method of nomination and the size of the union holding the election, both in terms of the number of members and the geographic area in which it operates. For example, a can-didate for office in a local labor organi-zation was improperly disqualified and then appealed to the international union which directed that his name be placed on the ballot. A complaint was considered properly filed alleging elec-tion violations because the candidate’s name was restored to the ballot two days prior to the election so that he was denied an equal opportunity to campaign. Similarly, in a mail ballot election a union’s delay in the distribu-tion of campaign literature until after the ballots have been distributed and some have been cast would not satisfy the requirement to distribute such lit-erature in compliance with a reason-able request. 40 Such a delay would deny the candidate a reasonable oppor-tunity to campaign prior to the elec-tion and would thus not meet the re-quirement for adequate safeguards to insure a fair election. Where access to the convention floor is limited exclu-sively to delegates at a convention at which officers are to be elected, there must, nevertheless, be equal oppor-tunity for all nominees to campaign. Thus, if the privilege of addressing the convention is accorded to any of the nominees, it must be accorded to all nominees who request it, whether they are delegates or not.

§ 452.80 Bona fide candidates.

A person need not be formally nomi-nated in order to be a bona fide can-didate entitled to exercise the rights

mentioned in §§ 452.67 and 452.71. 41 Thus, any qualified member seeking to be nominated and elected at a conven-tion would be able to take advantage of the distribution rights even before the convention meets and thus attempt to influence members to select delegates favorable to his candidacy or to per-suade the delegates to support his can-didacy. A union may reasonably re-quire that a person be nominated in order to be elected, but may not pre-vent a member who actively seeks of-fice and is otherwise qualified from taking advantage of the campaign safe-guards in the Act in an effort to gain the support necessary to be nominated.

§ 452.81 Rights in intermediate body elections.

While the literal language in section 401(c) relating to distribution of cam-paign literature and to discrimination with respect to the use of membership lists would seem to apply only to na-tional, international and local labor or-ganizations, two United States District Courts have held that these provisions also apply to intermediate bodies. 42 The Department of Labor considers these rulings to be consistent with the intent of Congress and, therefore, has adopted this position.

§ 452.82 Reprisal for exercising rights. A member has a right to support the

candidate of his choice without being subject to penalty, discipline, or im-proper interference or reprisal of any kind by the labor organization con-ducting the election or any member thereof.

§ 452.83 Enforcement of campaign safeguards.

Certain of the safeguards of section 401(c) are enforceable at the suit of any bona fide candidate. This special statu-tory right to sue is limited to the dis-tribution of campaign literature by the labor organization and the forbearance of such organization from discrimina-tion among candidates with respect to


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43 Act, sec. 3(o). 44 Act, sec. 101(a)(1).

the use of membership lists. Of course, all title IV safeguards, including those discussed in this paragraph, are subject to enforcement as provided in section 402. It should be noted that the right of a bona fide candidate to sue in the cir-cumstances described herein is limited to the period prior to election. After the election, the only remedy would be through a suit by the Secretary under section 402.

Subpart H—Right To Vote § 452.84 General.

Under the provisions of section 401(e), every member in good standing is enti-tled to vote in elections required under title IV which are to be held by secret ballot. The phrase ‘‘member in good standing’’ includes any person who has fulfilled the requirements for member-ship and who neither has withdrawn from membership nor has been expelled or suspended from membership after appropriate proceedings consistent with lawful provisions of the constitu-tion and bylaws of the organization. 43

§ 452.85 Reasonable qualifications on right to vote.

The basic right of members to vote in elections of the labor organization may be qualified by reasonable rules and regulations in its constitution and by-laws. 44

§ 452.86 Vote conditioned on payment of dues.

A labor organization may condition the exercise of the right to vote upon the payment of dues, which is a basic obligation of membership. Such a rule must be applied uniformly. If a mem-ber has not paid his dues as required by the labor organization’s constitution or bylaws he may not be allowed to vote. Thus, a rule which suspends a member’s right to vote in an election of officers while the member is laid off and is not paying dues would not, in or-dinary circumstances, be considered unreasonable, so long as it is applied in a nondiscriminatory manner. However, members must be afforded a reasonable opportunity to pay dues, including a

grace period during which dues may be paid without any loss of rights. In the case where a member is laid off but de-sires to maintain his good standing and thus his membership rights by con-tinuing to pay dues, it would be clearly unreasonable for the labor organization to refuse to accept his payment.

§ 452.87 Dues paid by checkoff.

A member in good standing whose dues are checked off by his employer pursuant to his voluntary authoriza-tion provided for in a collective bar-gaining agreement may not be dis-qualified from voting by reason of al-leged delay or default in the payment of dues. For example, the constitution and bylaws of a labor organization call for suspension of members whose dues are three months in arrears. Dues to be paid directly by a member are two months in arrears when the union changes to a checkoff system. The member may not be denied the right to vote merely because the employer is late in submitting the checked off dues for the first month. It would not be in-consistent with the Act, however, for a union to require a new member who executes a checkoff authorization to pay one month’s dues in advance on the date he becomes a member in order to be in good standing for the current month.

§ 452.88 Resumption of good standing.

While it is permissible for a labor or-ganization to deny the right to vote to those delinquent in paying their dues (with the exceptions noted) or to those who have been suspended or disciplined in accordance with section 101(a)(5) of the Act, a provision under which such persons are disqualified from voting for an extended period of time after pay-ment of back dues or after reinstate-ment would not be considered reason-able. After a member has resumed his good-standing status, it would be un-reasonable to continue to deprive him of his right to vote for a period longer than that for a new member. A new member may reasonably be required to establish a relationship with the union by remaining in good standing for a continuous period of time, e.g., 6


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29 CFR Ch. IV (7–1–16 Edition) § 452.89

45 Goldberg v. Marine Cooks and Stewards Union, 204 F. Supp. 844 (N.D. Cal. 1962).

46 Wirtz v. Local Union 262, Glass Bottle Blowers Association, 290 F. Supp. 965 (N.D. Calif. 1968).

months or a year, before being per-mitted to vote in an election of offi-cers. However, while the right to vote may be deferred within reasonable lim-its, a union may not create special classes of nonvoting members.

§ 452.89 Apprentices. A labor organization may condition

the right to vote upon completion of a bona fide program of apprenticeship training which is designed to produce competent tradesmen in the industry the union serves.

§ 452.90 Visiting members. A decision about the voting rights of

visiting members is properly one for resolution by the union in accordance with the organization’s constitution and bylaws or applicable resolutions. For purposes of the Act, a person is or-dinarily considered to be a member of the local to which he pays his dues.

§ 452.91 Voting by employers, super-visors.

Voting in union elections by employ-ers, self-employed persons, supervisors or other persons who are considered to be part of management is not precluded by title IV of the Act even if they are not required to maintain union mem-bership as a condition of employment. However, as mentioned in the discus-sion of qualifications for candidacy (see § 452.47), such persons may not dominate or interfere with the admin-istration of any labor organization.

§ 452.92 Unemployed members. Members who are otherwise qualified

to vote may not be disqualified from voting merely because they are cur-rently unemployed or are employed on a part-time basis in the industry served by the union, provided, of course, that such members are paying dues.

§ 452.93 Retired members. The right of retirees to vote may be

restricted to the extent provided by the constitution and bylaws of the labor organization.

§ 452.94 Reasonable opportunity to vote.

The statutory protection of the right to vote implies that there must be a

reasonable opportunity to vote. Thus, there is an obligation on the labor or-ganization to conduct its periodic elec-tion of officers in such a way as to af-ford all its members a reasonable op-portunity to cast ballots. A union may meet this obligation in a variety of ways, depending on factors such as the distance between the members’ work site or homes and the polling place, the means of transportation available, the nature of the members’ occupations, and their hours of work. A reasonable opportunity to vote may require estab-lishing multiple polling places or the use of a mail ballot referendum when the members are widely dispersed. It would also be reasonable for the time period for voting to be extended to ac-commodate members who might other-wise be prevented from voting due to conflicting work schedules. Shortening the voting period by a late opening of the polls would not, in itself, be im-proper unless the intent or practical ef-fect of such action is to deprive mem-bers of their right to vote.

§ 452.95 Absentee ballots. Where the union knows in advance

that a substantial number or a par-ticular segment of the members will not be able to exercise their right to vote in person, as, for example, when access to a polling place is impracti-cable for many members because of shipping assignments, absentee ballots or other means of voting must be made available. 45 In the event absentee bal-lots are necessary the organization must give its members reasonable no-tice of the availability of such bal-lots. 46

Subpart I—Election Procedures; Rights of Members

§ 452.96 General. The Act safeguards democratic proc-

esses by prescribing, in section 401, minimum standards for the regular periodic election of officers in labor or-ganizations subject to its provisions. It


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47 Act, sec. 3(k). 48 Act, sec. 401(e).

does not, however, prescribe in detail election procedures which must be fol-lowed. Labor organizations are free to establish procedures for elections as long as they are fair to all members and are consistent with lawful provi-sions of the organization’s constitution and bylaws and with section 401. The rights granted to members in section 401(e) refer to individuals, not labor or-ganizations. For example, while locals may be members of an intermediate body, they are not entitled to the rights granted ‘‘members’’ in section 401(e).

§ 452.97 Secret ballot. (a) A prime requisite of elections reg-

ulated by title IV is that they be held by secret ballot among the members or in appropriate cases by representatives who themselves have been elected by secret ballot among the members. A se-cret ballot under the Act is ‘‘the ex-pression by ballot, voting machine, or otherwise, but in no event by proxy, of a choice * * * cast in such a manner that the person expressing such choice cannot be identified with the choice ex-pressed.’’ 47 Secrecy may be assured by the use of voting machines, or, if paper ballots are used, by providing voting booths, partitions, or other physical arrangements permitting privacy for the voter while he is marking his bal-lot. The ballot must not contain any markings which upon examination would enable one to identify it with the voter. Balloting by mail presents special problems in assuring secrecy. Although no particular method of as-suring such secrecy is prescribed, se-crecy may be assured by the use of a double envelope system for return of the voted ballots with the necessary voter identification appearing only on the outer envelope.

(b) Should any voters be challenged as they are casting their ballots, there should be some means of setting aside the challenged ballots until a decision regarding their validity is reached without compromising the secrecy re-quirement. For example, each such bal-lot might be placed in an envelope with the voter’s name on the outside. Of course, it would be a violation of the

secrecy requirement to open these en-velopes and count the ballots one at a time in such a way that each vote could be identified with a voter.

(c) In a mail ballot election, a union may require members to sign the re-turn envelope if the signatures may be used in determining eligibility. How-ever, it would be unreasonable for a union to void an otherwise valid ballot merely because a member printed rath-er than signed his name if the union does not use the signatures to deter-mine voter eligibility.

§ 452.98 Outside agencies. There is nothing in the Act to pre-

vent a union from employing an inde-pendent organization as its agent to handle the printing, mailing, and counting of ballots in such elections if all the standards of the Act are met.

§ 452.99 Notice of election. Elections required by title IV to be

held by secret ballot must be preceded by a notice of election mailed to each member at his last known home ad-dress not less than fifteen days prior to the election. 48 For purposes of com-puting the fifteen day period, the day on which the notices are mailed is not counted whereas the day of the elec-tion is counted. For example, if the election is to be held on the 20th day of the month, the notices must be mailed no later than the 5th day. The notice must include a specification of the date, time and place of the election and of the offices to be filled, and it must be in such form as to be reasonably cal-culated to inform the members of the impending election. Specification of the offices to be filled would not be necessary if it is a regular, periodic election of all officers and the notice so indicates. A statement in the union by-laws that an election will be held at a certain time does not constitute the notice required by the statute. Since the Act specifies that the notice must be mailed, other means of transmission such as posting on a bulletin board or hand delivery will not satisfy the re-quirement. A notice of election must be sent to every member as defined in section 3(o) of the Act, not only to


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29 CFR Ch. IV (7–1–16 Edition) § 452.100

49 See § 452.56 for a discussion of the re-quirements for notices of nomination.

50 Act, section 401(e). In Wirtz v. Local 1752, ILA, 56 LRRM 2303, 49 L.C. ¶ 18,998 (S.D. Miss. 1963), the court, under its equitable jurisdic-tion, granted a preliminary injunction on the motion of the Secretary to enjoin a union from taking disciplinary action against a member. The member had filed a complaint with the Secretary under section 402(a) that resulted in the Secretary filing suit under 402(b).

members who are eligible to vote in the election. Where the notice, if mailed to the last known permanent or legal residence of the member, would not be likely to reach him because of a known extended absence from that place, the statutory phrase ‘‘last known home address’’ may reasonably be interpreted to refer to the last known temporary address of definite duration. A single notice for both nominations and election may be used if it meets the requirements of both such notices. 49


§ 452.100 Use of union newspaper as notice.

A labor organization may comply with the election notice requirement by publishing the notice in the organi-zation’s newspaper which is mailed to the last known home address of each member not less than fifteen days prior to the election. Where this procedure is used (a) the notice should be conspicu-ously placed on the front page of the newspaper, or the front page should have a conspicuous reference to the in-side page where the notice appears, so that the inclusion of the election no-tice in a particular issue is readily ap-parent to each member; (b) the notice should clearly identify the particular labor organization holding the elec-tion; (c) the notice should specify the time and place of the election and the offices to be filled; and (d) a reasonable effort must be made to keep the mail-ing list of the publication current.

§ 452.101 Sample ballots as notice. Sample ballots together with infor-

mation as to the time and place of the election and the offices to be filled, if mailed fifteen days prior to the elec-tion, will fulfill the election notice re-quirements.

§ 452.102 Notice in mail ballot election. If the election is conducted by mail

and no separate notice is mailed to the members, the ballots must be mailed to the members no later than fifteen days

prior to the date when they must be mailed back in order to be counted.

§ 452.103 Primary elections. The fifteen-day election notice provi-

sion applies to a ‘‘primary election’’ at which nominees are chosen. Likewise, the fifteen-day election notice require-ment applies to any runoff election which may be held after an inconclu-sive election. However, a separate no-tice would not be necessary if the elec-tion notice for the first election ad-vises the members of the possibility of a runoff election and specifies such de-tails as the time and place of such run-off election as may be necessary.

§ 452.104 Proximity of notice to elec-tion.

(a) The statutory requirement for giving fifteen days’ notice of election is a minimum standard. There is no ob-jection to giving more notice than is required by law. However, it was clear-ly the intent of Congress to have mem-bers notified at a time which reason-ably precedes the date of the election. For example, notice in a union publica-tion which is expected to cover elec-tions to be held six months later would not be considered reasonable.

(b) Should a union change the date of an election from the date originally announced in the mail notice to the members, it must mail a second notice, containing the corrected date, at least fifteen days before the election.

§ 452.105 Interference or reprisal. Title IV expressly provides for the

right of a member to vote for and oth-erwise support the candidates of his choice without being subject to pen-alty, discipline, or improper inter-ference or reprisal of any kind by the labor organization conducting the elec-tion or any officer or member there-of. 50


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51 Act, section 401(e).

52 Act, sec. 401(e). See also Senate Report 187, 86th Cong. 1st sess., p. 47; Daily Cong. Rec. p. 13682, Aug. 3, 1959, and p. A6573, July 29, 1959.

§ 452.106 Preservation of records.

In every secret ballot election which is subject to the Act, the ballots and all other records pertaining to the elec-tion must be preserved for one year. 51 The responsibility for preserving the records is that of the election officials designated in the constitution and by-laws of the labor organization or, if none is so designated, its secretary. Since the Act specifies that ballots must be retained, all ballots, marked or unmarked, must be preserved. Inde-pendent certification as to the number and kind of ballots destroyed may not be substituted for preservation. In ad-dition, ballots which have been voided, for example, because they were re-ceived late or because they were cast for an ineligible candidate, must also be preserved.

§ 452.107 Observers. (a) Under the provisions of section

401(c), each candidate must be per-mitted to have an observer (1) at the polls and (2) at the counting of the bal-lots. This right encompasses every phase and level of the counting and tal-lying process, including the counting and tallying of the ballots and the to-taling, recording, and reporting of tally sheets. If there is more than one poll-ing place, the candidate may have an observer at each location. If ballots are being counted at more than one loca-tion or at more than one table at a sin-gle location, a candidate is entitled to as many observers as necessary to ob-serve the actual counting of ballots. The observer may note the names of those voting so that the candidates may be able to ascertain whether unau-thorized persons voted in the election. The observers should be placed so that they do not compromise, or give the appearance of compromising, the se-crecy of the ballot. The observer is not required to be a member of the labor organization unless the union’s con-stitution and bylaws require him to be a member. There is no prohibition on the use of alternate observers, when necessary, or on a candidate serving as his own observer. Observers do not have the right to count the ballots.

(b) The right to have an observer at the polls and at the counting of the ballots extends to all candidates for of-fice in an election subject to title IV, i.e., this includes elections in inter-mediate bodies as well as elections in locals and national and international labor organizations.

(c) In any secret ballot election which is conducted by mail, regardless of whether the ballots are returned by members to the labor organization of-fice, to a mail box, or to an inde-pendent agency such as a firm of cer-tified public accountants, candidates must be permitted to have an observer present at the preparation and mailing of the ballots, their receipt by the counting agency and at the opening and counting of the ballots.

(d) Paying election observers is the responsibility of the candidate they represent unless the union has a rule providing for the payment of observers. If the union does have such a rule, it must be uniformly applied to all can-didates.

§ 452.108 Publication of results.

In any election which is required by the Act to be held by secret ballot, the votes cast by members of each local labor organization must be counted, and the results published, separately. 52 For example, where officers of an inter-mediate body are elected directly by members, the votes of each local must be tabulated and published separately. The publishing requirement is to as-sure that the results of the voting in each local are made known to all inter-ested members. Thus, the presentation of the election report at a regular local membership meeting, and the entry of the report in the minutes, would nor-mally accomplish this purpose in a local election. Such minutes would have to be available for inspection by members at reasonable times, unless copies of the report are made available. In an election that encompasses more than one local, publication may be ac-complished by posting on appropriate


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29 CFR Ch. IV (7–1–16 Edition) § 452.109

53 Act, sec. 401(e). Under 29 CFR 402.10, a labor organization is required to make avail-able to all members a copy of its constitu-tion and bylaws.

54 See Hodgson v. UMW, 344 F.Supp. 17 (D.D.C. 1972).

bulletin boards, or in a union news-paper, or by any procedure which al-lows any member to obtain the infor-mation without unusual effort. Of course, the counting and reporting should account for all ballots cast in the election, although only valid votes will be counted in determining the suc-cessful candidates.

§ 452.109 Constitution of labor organi-zation.

Elections must be conducted in ac-cordance with the constitution and by-laws of the organization insofar as they are not inconsistent with the provi-sions of title IV. 53

§ 452.110 Adequate safeguards. (a) In addition to the election safe-

guards discussed in this part, the Act contains a general mandate in section 401(c), that adequate safeguards to in-sure a fair election shall be provided. Such safeguards are not required to be included in the union’s constitution and bylaws, but they must be observed. A labor organization’s wide range of discretion regarding the conduct of elections is thus circumscribed by a general rule of fairness. For example, if one candidate is permitted to have his nickname appear on the ballot, his op-ponent should enjoy the same privi-lege.

(b) A union’s failure to provide voters with adequate instructions for properly casting their ballots may violate the requirement of adequate safeguards to insure a fair election.

§ 452.111 Campaigning in polling places.

There must not be any campaigning within a polling place 54 and a union may forbid any campaigning within a specified distance of a polling place.

§ 452.112 Form of ballot; slate voting. The form of the ballot is not pre-

scribed by the Act. Thus, a union may, if it so desires, include a proposed

bylaw change or other similar proposal on a ballot along with the candidates for office so long as this is permissible under the union’s constitution and by-laws. A determination as to the posi-tion of a candidate’s name on the bal-lot may be made by the union in any reasonable manner permitted by its constitution and bylaws, consistent with the requirement of fairness and the other provisions of the Act. For ex-ample, candidates may be listed ac-cording to their affiliation with a par-ticular slate. However, while ‘‘slate voting’’ is permissible, the balloting must be consistent with the right of members to vote for the candidates of their choice. Thus, there must be pro-vision for the voter to choose among individual candidates if he does not wish to vote for an entire slate. To avoid any misunderstanding in this re-gard, the voting instructions should specifically inform the voter that he need not vote for an entire slate.

§ 452.113 Sectional balloting.

The ballots may be prepared so that the names of candidates for positions representative of a particular area ap-pear only on the ballots received by members living in that area.

§ 452.114 Write-in votes.

Where write-in votes are permitted in an election subject to title IV, details of the format of the ballot are left to the discretion of the union. Ordinarily, the Secretary would become involved in such matters only in the context of an election complaint under section 402 and then only if the arrangements for write-in votes were so unreasonable that the outcome of the election may have been affected. Of course, a union may, in accordance with its constitu-tion and bylaws or as a matter of stat-ed policy, refuse to permit write-in votes.

§ 452.115 Distribution of ballots.

So long as secrecy of the ballot is maintained, there is no restriction on how the ballots are distributed to the voters. Any method which actually provides each eligible voter with one blank ballot would be in conformance with the law.


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§ 452.116 Determining validity of bal-lots.

Generally, a labor organization has a right to establish reasonable rules for determining the validity of ballots cast in an election. However, where the union has no published guides for de-termining the validity of a voted bal-lot, it must count any ballot voted in such a way as to indicate fairly the in-tention of the voter. An entire ballot may not be voided because of a mistake made in voting for one of the offices on the ballot.

§ 452.117 Majority of votes not re-quired for election.

A labor organization may by its con-stitution and bylaws provide for the election of the candidate who receives the greatest number of votes, although he does not have a majority of all the votes cast. Alternatively, it may pro-vide that where no candidate receives a majority of all the votes cast, a run-off election be held between the two can-didates having the highest vote. Simi-larly, a labor organization conducting an election to choose five members of an executive board may designate as elected from among all the nominees the five candidates who receive the highest vote.

§ 452.118 Local unions agents in inter-national elections.

An international union may establish internal rules which require local or in-termediate union officials to act as agents of the international in con-ducting designated aspects of the inter-national referendum election of offi-cers. The consequences of the failure to perform as directed by such officials will, of course, depend on the totality of the circumstances involved.

§ 452.119 Indirect elections. National or international labor orga-

nizations subject to the Act have the option of electing officers either di-rectly by secret ballot among the mem-bers in good standing or at a conven-tion of delegates or other representa-tives who have been elected by secret ballot among the members. Inter-mediate labor organizations subject to the Act have the option of electing of-ficers either directly by secret ballot

among the members in good standing or by labor organization officers or del-egates elected by secret ballot vote of the members they represent. Local unions, in contrast, do not have the op-tion of conducting their periodic elec-tions of officers indirectly through rep-resentatives.

§ 452.120 Officers as delegates. Officers of labor organizations who

have been elected by secret ballot vote of their respective memberships may, by virtue of their election to office, serve as delegates to conventions at which officers will be elected, if the constitution and bylaws of the labor organization so provide. In such cases it is advisable to have a statement to this effect included on the ballots. Per-sons who have been appointed to serve unexpired terms of officers who are ex officio delegates to a convention at which officers will be elected may not vote for officers in such election.

§ 452.121 Limitations on national or international officers serving as delegates.

While officers of national or inter-national labor organizations or of in-termediate bodies who have been elect-ed by a vote of the delegates to a con-vention may serve as delegates to con-ventions of their respective labor orga-nizations if the constitution and by-laws so provide, they may not vote in officer elections at such conventions unless they have also been elected as delegates by a secret ballot vote of the members they are to represent. Of course, such officers may participate in the convention, i.e., they may preside over the convention, be nominated as candidates, or act in other capacities permitted under the organization’s constitution and bylaws.

§ 452.122 Delegates from intermediate bodies; method of election.

A delegate from an intermediate body who participates in the election of officers at a national or inter-national convention must have been elected by a secret ballot vote of the individual members of the constituent units of that body. He may not partici-pate if he was elected by the delegates who make up the intermediate body.


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29 CFR Ch. IV (7–1–16 Edition) § 452.123

55 Act, sec. 3 (i) and (j) and part 451 of this chapter.

56 Section 303(b) of the LMRDA provides criminal penalties for violation of section 303(a)(1).

The secret ballot election required by the Act is an election among the gen-eral membership and not an election of delegates by other delegates.

§ 452.123 Elections of intermediate body officers.

Section 401(d) states that officers of intermediate bodies shall be elected ei-ther by secret ballot among the mem-bers in good standing or by labor orga-nization officers representative of such members who have been elected by se-cret ballot. The phrase ‘‘officers rep-resentative of such members’’ includes delegates who have been elected by se-cret ballot to represent labor organiza-tions in intermediate bodies. Such del-egates may therefore participate in the election of officers of intermediate bod-ies regardless of whether they are char-acterized as officers of the labor orga-nization they represent.

§ 452.124 Delegates from units which are not labor organizations.

To the extent that units, such as committees, which do not meet the definition of a labor organization under the Act 55 participate in the election of officers of a national or international labor organization or an intermediate body, through delegates to the conven-tion or otherwise, the provisions of title IV are, nevertheless, applicable to the election of such delegates. The fol-lowing example is typical in organiza-tions of railway employees. The chair-man of a local grievance committee, which is not a labor organization under the Act, is not an officer within the meaning of the Act. If such a local chairman is a delegate to the general grievance committee, which is consid-ered to be an intermediate body under the Act, however, he must be elected by secret ballot vote of the members he represents, if he votes for officers of the general grievance committee.

§ 452.125 Delegates from labor organi-zations under trusteeship.

It would be unlawful under section 303(a)(1) of the Act to count the votes of delegates from a labor organization under trusteeship in any convention or

election of officers of the organization imposing the trusteeship unless such delegates were chosen by secret ballot vote in an election in which all the members in good standing of the subor-dinate organization were eligible to participate. 56

§ 452.126 Delegates to conventions which do not elect officers.

Delegates to conventions need not be elected by secret ballot when officers of the organization are elected by a se-cret ballot vote of the entire member-ship. However, if the only method of making nominations is by delegates, then the delegates must be elected by secret ballot.

§ 452.127 Proportionate representa-tion.

When officers of a national, inter-national or intermediate labor organi-zation are elected at a convention of delegates who have been chosen by se-cret ballot, the structure of representa-tion of the membership is a matter for the union to determine in accordance with its constitution and bylaws. There is no indication that Congress in-tended, in enacting title IV of the Act, to require representation in delegate bodies of labor organizations to reflect the proportionate number of members in each subordinate labor organization represented in such bodies. Questions of such proportionate representation are determined in accordance with the labor organization’s constitution and bylaws insofar as they are not incon-sistent with the election provisions of the Act. Congress did not attempt to specify the organizational structure or the system of representation which unions must adopt. However, all mem-bers must be represented; the union may not deny representation to locals below a certain size.

§ 452.128 Under-strength representa-tion.

A local union may elect fewer dele-gates than it is permitted under the union constitution as long as the local is allowed to determine for itself


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57 Act, sec. 402(a).

whether or not it will send its full quota of delegates to the union conven-tion. The delegates present from a local may cast the entire vote allotted to that local if this is permitted by the constitution and bylaws.

§ 452.129 Non-discrimination. Further, distinctions in representa-

tional strength among or within locals may not be based on arbitrary and un-reasonable factors such as race, sex, or class of membership based on type of employment.

§ 452.130 Expenses of delegates. A local may elect two groups—one

which would receive expenses while the other would be required to pay its own way, provided each member has an equal opportunity to run for the ex-pense-paid as well as the non-expense- paid positions.

§ 452.131 Casting of ballots; delegate elections.

The manner in which the votes of the representatives are cast in the conven-tion is not subject to special limita-tions. For example, the voting may be by secret ballot, by show of hands, by oral roll call vote, or if only one can-didate is nominated for an office, by acclamation or by a motion author-izing the convention chairman to cast a unanimous vote of the delegates present.

§ 452.132 Proxy voting. There is no prohibition on delegates

in a convention voting by proxy, if the constitution and bylaws permit.

§ 452.133 Election of delegates not members of the labor organization.

A labor organization’s constitution and bylaws may authorize the election of delegates who are not members of the subordinate labor organization they represent, provided the members of the subordinate organization are also eligible to be candidates.

§ 452.134 Preservation of records. The credentials of delegates, and all

minutes and other records pertaining to the election of officers at conven-tions, must be preserved for one year by the officials designated in the con-

stitution and bylaws or by the sec-retary if no other officer is designated. This requirement applies not only to conventions of national or inter-national labor organizations, but also to representative bodies of inter-mediate labor organizations.

Subpart J—Special Enforcement Provisions

§ 452.135 Complaints of members. (a) Any member of a labor organiza-

tion may file a complaint with the Of-fice of Labor-Management Standards alleging that there have been viola-tions of requirements of the Act con-cerning the election of officers, dele-gates, and representatives (including violations of election provisions of the organization’s constitution and bylaws that are not inconsistent with the Act.). 57 The complaint may not be filed until one of the two following condi-tions has been met: (1) The member must have exhausted the remedies available to him under the constitution and bylaws of the organization and its parent body, or (2) he must have in-voked such remedies without obtaining a final decision within three calendar months after invoking them.

(b) If the member obtains an unfavor-able final decision within three cal-endar months after invoking his avail-able remedies, he must file his com-plaint within one calendar month after obtaining the decision. If he has not obtained a final decision within three calendar months, he has the option of filing his complaint or of waiting until he has exhausted the available rem-edies within the organization. In the latter case, if the final decision is ulti-mately unfavorable, he will have one month in which to file his complaint.

§ 452.136 Investigation of complaint by Office of Labor-Management Stand-ards, court action by the Secretary.

(a) The Office of Labor-Management Standards is required to investigate each complaint of a violation filed in accordance with the requirements of the Act and, if the Secretary finds probable cause to believe that a viola-tion has occurred and has not been


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29 CFR Ch. IV (7–1–16 Edition) § 452.137

58 Act, sec. 404. 59 Act, sec. 403.

remedied, he is directed to bring within 60 days after the complaint has been filed a civil action against the labor or-ganization in a Federal district court. In any such action brought by the Sec-retary the statute provides that if, upon a preponderance of the evidence after a trial upon the merits, the court finds (1) that an election has not been held within the time prescribed by the election provisions of the Act or (2) that a violation of these provisions ‘‘may have affected the outcome of an election’’, the court shall declare the election, if any, to be void and direct the conduct of an election under the supervision of the Secretary, and, so far as is lawful and practicable, in con-formity with the constitution and by-laws of the labor organization.

(b) Violations of the election provi-sions of the Act which occurred in the conduct of elections held within the prescribed time are not grounds for set-ting aside an election unless they ‘‘may have affected the outcome.’’ The Secretary, therefore, will not institute court proceedings upon the basis of a complaint alleging such violations un-less he finds probable cause to believe that they ‘‘may have affected the out-come of an election.’’

(b–1) The Supreme Court, in Hodgson v. Local Union 6799, Steelworkers Union of America, 403 U.S. 333, 91 S.Ct. 1841 (1971), ruled that the Secretary of Labor may not include in his com-plaint a violation which was known to the protesting member but was not raised in the member’s protest to the union.

Complaints filed by the Department of Labor will accordingly be limited by that decision to the matters which may fairly be deemed to be within the scope of the member’s internal protest and those which investigation discloses he could not have been aware of.

(c) Elections challenged by a member are presumed valid pending a final de-cision. The statute provides that until such time, the affairs of the labor orga-nization shall be conducted by the elected officers or in such other man-ner as the union constitution and by-laws provide. However, after suit is filed by the Secretary the court has power to take appropriate action to

preserve the labor organization’s as-sets.

[38 FR 18324, July 3, 1973, as amended at 39 FR 37360, Oct. 21, 1974]

Subpart K—Dates and Scope of Application

§ 452.137 Effective dates. (a) Section 404 states when the elec-

tion provisions of the Act become ap-plicable. 58 In the case of labor organi-zations whose constitution and bylaws can be lawfully modified or amended by action of the organization’s ‘‘con-stitutional officers or governing body,’’ the election provisions become applica-ble 90 days after the enactment of the statute (December 14, 1959). Where the modification of the constitution and bylaws of a local labor organization re-quires action by the membership at a general meeting or by referendum, the general membership would be a ‘‘gov-erning body’’ within the meaning of this provision. In the cases where any necessary modification of the constitu-tion and bylaws can be made only by a constitutional convention of the labor organization, the election provisions become applicable not later than the next constitutional convention after the enactment of the statute, or one year after the enactment of the stat-ute, whichever is sooner.

(b) The statute does not require the calling of a special constitutional con-vention to make such modifications. However, if no convention is held with-in the one-year period, the executive board or similar governing body that has the power to act for the labor orga-nization between conventions is em-powered by the statute to make such interim constitutional changes as are necessary to carry out the provisions of title IV of the Act. Any election held thereafter would have to comply with the requirements of the Act.

§ 452.138 Application of other laws. (a) Section 403 59 provides that no

labor organization shall be required by law to conduct elections of officers with greater frequency or in a different


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60 Act, sec. 402. 61 Act, sec. 403. See Daily Cong. Rec. 86th

Cong., 1st sess., p. 9115, June 8, 1959, pp. 13017 and 13090, July 27, 1959. H. Rept. No. 741, p. 17; S. Rept. No. 187, pp. 21–22, 101, 104. Hearings, House Comm. on Education and Labor, 86th Cong., 1st sess., pt. 1, p. 1611. See also Fur-niture Store Drivers Local 82 v. Crowley, 104 S.Ct. 2557 (1984).

62 Act, sec. 603. 1 73 Stat. 536; 29 U.S.C. 502.

form or manner than is required by its own constitution or bylaws, except as otherwise provided by the election pro-visions of the Act.

(b) The remedy 60 provided in the Act for challenging an election already conducted is exclusive. 61 However, ex-isting rights and remedies to enforce the constitutions and bylaws of such organizations before an election has been held are unaffected by the elec-tion provisions. Section 603 62 which ap-plies to the entire Act, states that ex-cept where explicitly provided to the contrary, nothing in the Act shall take away any right or bar any remedy of any union member under other Federal law or law of any State.


PART 453—GENERAL STATEMENT CONCERNING THE BONDING RE-QUIREMENTS OF THE LABOR- MANAGEMENT REPORTING AND DISCLOSURE ACT OF 1959

INTRODUCTION

Sec. 453.1 Scope and significance of this part.

CRITERIA FOR DETERMINING WHO MUST BE BONDED

453.2 Provisions of the statute. 453.3 Labor organizations within the cov-

erage of section 502(a). 453.4 Trusts (in which a labor organization

is interested) within the coverage of sec-tion 502(a).

453.5 Officers, agents, shop stewards, or other representatives or employees of a labor organization.

453.6 Officers, agents, shop stewards or other representatives or employees of a trust in which a labor organization is in-terested.

453.7 ‘‘Funds or other property’’ of a labor organization or of a trust in which a labor organization is interested.

453.8 Personnel who ‘‘handle’’ funds or other property.

453.9 ‘‘Handling’’ of funds or other property by personnel functioning as a governing body.

SCOPE OF THE BOND

453.10 The statutory provision. 453.11 The nature of the ‘‘duties’’ to which

the bonding requirement relates. 453.12 Meaning of fraud or dishonesty.

AMOUNT OF BONDS

453.13 The statutory provision. 453.14 The meaning of ‘‘funds’’. 453.15 The meaning of funds handled ‘‘dur-

ing the preceding fiscal year’’. 453.16 Funds handled by more than one per-

son. 453.17 Term of the bond.

FORM OF BONDS

453.18 Bonds ‘‘individual or schedule in form.’’

453.19 The designation of the ‘‘insured’’ on bonds.

QUALIFIED AGENTS, BROKERS, AND SURETY COMPANIES FOR THE PLACING OF BONDS

453.20 Corporate sureties holding grants of authority from the Secretary of the Treasury.

453.21 Interests held in agents, brokers, and surety companies.

MISCELLANEOUS PROVISIONS

453.22 Prohibition of certain activities by unbonded persons.

453.23 Persons becoming subject to bonding requirements during fiscal year.

453.24 Payment of bonding costs. 453.25 Effective date of the bonding require-

ment. 453.26 Powers of the Secretary of Labor to

exempt.

AUTHORITY: Sec. 502, 73 Stat. 536; 79 Stat. 888 (29 U.S.C. 502); Secretary’s Order No. 03– 2012, 77 FR 69376, November 16, 2012.

SOURCE: 28 FR 14394, Dec. 27, 1963, unless otherwise noted.

INTRODUCTION

§ 453.1 Scope and significance of this part.

(a) Functions of the Department of Labor. This part discusses the meaning and scope of section 502 of the Labor- Management Reporting and Disclosure Act of 1959 1 (hereinafter referred to as


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Ofc. of Labor-Management Standards, Labor Pt. 452 · 452.9 Prohibition against certain persons ... national, or intermediate body office. ... Swift & Co., 323 U.S. 134 at 138